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Avakian: SEC having ‘Strong Year’ Despite ‘Meaningful Attrition’ of Key Enforcement Staff

© 2018 The Texas Lawbook. By Mark Curriden (Sept. 20) – Policing the U.S. securities markets is a huge job and is getting even more expansive thanks to extraordinary developments…

SEC Charges Colleyville Broker-Dealer with Fraud

© 2018 The Texas Lawbook. By Mark Curriden (Sept. 17) – Thomas Caufield was not a character in J.D. Salinger’s Catcher in the Rye, but the U.S. Securities and Exchange…

DBJ: Feds charge Addison marijuana investment firm with fraud, seize $1.4M in cash

Addison marijuana investor Greenview Investment Partners has been charged by the Securities and Exchange Commission for allegedly making false promises about its returns to those wanting to put money into…

Get More Bang for Your Compliance Buck by Conducting Risk Assessments

Get More Bang for Your Compliance Buck by Conducting Risk Assessments

“Compliance is not a one-size-fits-all proposition," Deputy Attorney General Rod Rosenstein recently stated. When "companies grow, risk profiles change.” Attorneys at Greenberg Traurig explain the nuts and bolts of assessing…

Doctor Pleads Guilty, Lawyer’s Death Delays Trial in Forest Park Conspiracy Case

Dr. Wade Barker, a founding surgeon of the now bankrupt Forest Park Medical Center, has agreed to plead guilty for his role in what prosecutors claim was a $40 million…

Texas Lawbook Sponsors UT Government Enforcement Institute

The Texas Lawbook is the official media sponsor of the Fifth Annual University of Texas Government Enforcement Institute set for Sept. 20 in Dallas. The daylong CLE program features an…

SEC: Former ClubCorp Exec Admitted Insider Trading Violations

The SEC announced Thursday that it has settled its insider trading case against former ClubCorp Holdings Vice President Nelson “Frank” Molina. The Texas Lawbook has the details.…

KBR Pays $2.5M Penalty Settling 2013 Financial Overstatement

KBR Pays $2.5M Penalty Settling 2013 Financial Overstatement

© 2018 The Texas Lawbook. By Mark Curriden (July 2) – The U.S. Securities and Exchange Commission announced Monday that Houston-based KBR employed insufficient financial controls and procedures that resulted…

SEC Levies New Charges, Seeks Additional Penalties against Texas Energy Fund Execs

SEC Levies New Charges, Seeks Additional Penalties against Texas Energy Fund Execs

The U.S. Securities and Exchange Commission filed new charges against seven executives of Grapevine-based Texas Energy Mutual involved in a $10 million oil and gas Ponzi scheme between 2013 and…

SEC Charges Texas Coastal Energy, CEO with Fraud

SEC Charges Texas Coastal Energy, CEO with Fraud

Dallas-based Texas Coastal Energy Company and its CEO committed federal securities fraud by lying to investors and misappropriating $2.6 million of their money, the U.S. Securities and Exchange Commission said…

SEC Charges ‘Whale Whisperer’ with Securities Fraud

SEC Charges ‘Whale Whisperer’ with Securities Fraud

(June 4) – The U.S. Securities and Exchange Commission has accused a musician and composer who designed sound systems at the ballparks for the Houston Astros and Texas Rangers with…

Regulations, Risks & Remedies When Your Brand Is Used in Cryptocurrency Promotion

The promotional materials hyping new cryptocurrencies regularly include lists of "advisors" – usually respected individuals associated with well-known brands – in order to add credibility to the offerings. Whether or…

SEC Charges Paralegal with Municipal Securities Violations

The SEC's Fort Worth Regional Office announced Wednesday that it has charged and settled a case against an Edinburg paralegal-turned-registered municipal advisor accused of defrauding a South Texas school district…

SEC Promotes Eric Werner in Agency’s Fort Worth Office

SEC Promotes Eric Werner in Agency’s Fort Worth Office

Werner has played a significant role in more than 100 SEC investigations and prosecutions, including the ongoing case against Breitling Energy CEO and self-proclaimed “Frack Master” Christopher Faulkner and the…

SEC Charges So. TX Businessmen with Ponzi Fraud Targeting Elderly

Two South Texas businesses and their executives operated a pair of Ponzi schemes to raise $3.6 million from dozens of elderly investors as old as 101 and used a good…

SEC Charges North Texas Energy Firm, Execs with Securities Fraud

SEC Charges North Texas Energy Firm, Execs with Securities Fraud

The SEC's Fort Worth office has charged Dallas-based Americrude and two of its executives with defrauding 17 investors out of $950,000 in an oil and gas offering scheme. The alleged…

SEC: Plano Oil Operators Used Investor Cash for Booze & Strippers

SEC: Plano Oil Operators Used Investor Cash for Booze & Strippers

The U.S. Securities and Exchange Commission has charged three interconnected oil and gas companies and its executives with fraudulently scheming to raise $11.7 million for drilling projects allegedly located in…

Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement

Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement

When financial services firms offer their representatives special incentives related to a specific product or service, they often draw the attention of securities regulators. But Ronak Patel of Winstead argues…

Texas Shuts Down SourceRock Energy Securities Offering

Texas Shuts Down SourceRock Energy Securities Offering

The Texas Securities Commission issued a cease and desist order Friday to stop Dallas-based SourceRock Energy and its two executives from further efforts to raise $4.4 million from investors for…

SEC Loses Three Senior-Level Enforcers to Dallas Financial Services Firm – Updated

SEC Loses Three Senior-Level Enforcers to Dallas Financial Services Firm – Updated

SEC Associate Director Jessica Magee and two other key SEC lawyers are leaving the Fort Worth office to join the Beneficient Company Group, an alternative asset management firm led by…

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