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David R. Chase P.A.
SEC defense
The Securities and Exchange Commission (SEC) just filed an emergency enforcement action seeking an asset freeze and other immediate relief against Zachary Horwitz, an actor based out of Los Angeles, California, and his company, 1inMM (one in a million) Capital, LLC.  In its lawsuit, the SEC alleged that Horwitz and his company were engaged in...
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Social Media Stock Fraud
The Securities and Exchange Commission continues its prosecution of social media stock fraud. Yesterday, the SEC filed fraud charges against a trader who allegedly utilized social media to spread false and misleading information about a defunct company, while secretly dumping his holdings and profiting in the process.  Per the SEC Complaint, Andrew Fassari used a...
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SEC Whistleblower Claim
In early November 2020, the Securities and Exchange Commission (SEC) announced that it awarded two individual whistleblowers a total of $4.3 million. In the first whistleblower case, the SEC paid over $3.6 million for the individual’s provision of critical information that alerted the SEC to fraudulent conduct taking place abroad.  The SEC noted that the...
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FINRA recently hit Interactive Brokers LLC with a $15 million penalty for alleged wide-reaching deficiencies in its anti-money laundering (AML) program, which spanned in excess of five years.   As a condition of the settlement, in which Interactive Brokers neither admitted nor denied the allegations, FINRA obligated the firm to put in place a third-party consultant’s...
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The US Securities and Exchange Commission has brought civil enforcement charges against Amir Bruno Elmaani, also known by his online moniker “Bruno Block.”  The SEC charges two categories of securities violations: (1) an illegal securities distribution of digital tokens, and (2) a scheme to enrich by minting unauthorized tokens at no cost and dumping them...
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The Law Firm of David R. Chase is conducting an investigation to determine whether investors have legal claims to recoup their losses suffered in investments offered by Northstar Financial Services (Bermuda) Ltd.  These investments include: Global Interest Accumulator Global VIP Elite Global Index Product Global Advantage Select Global Advantage Plus Series Numerous securities brokers and...
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The Securities and Exchange Commission recently filed charges against an individual for acting as an unregistered investment adviser and defrauding a Puerto Rico Municipality to the tune of $7.1 million in taxpayer dollars. The SEC alleges in its enforcement action that Eugenio Garcia Jimenez, Jr., in 2016, represented to municipal officials that he could invest...
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SEC Whistleblower lawyer
Reasons to Hire an SEC Whistleblower Lawyer The Securities and Exchange Commission has, since 2010, maintained an Office of the Whistleblower.  Its purpose is to incentivize individuals through monetary payments (bounties up to 30% of recovered monies by the SEC in excess of $1 million) to come forward and report, including anonymously, violations of the...
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