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By

David R. Chase P.A.
SEC investigation
Over the last few years, the Securities and Exchange Commission (SEC) has increasingly been focusing its enforcement efforts on prosecuting those in the securities markets that are in the business of buying convertible notes from microcap issuers, converting them into shares typically at a significant discount and then selling for a handsome profit. The SEC’s...
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insider trading attorney
Help from a Insider Trading Attorney While the SEC’s Enforcement Program’s priorities change over time (for example its relatively recent crackdown in the digital assets space), the one constant is its commitment to aggressively investigate and prosecute insider trading.  This is clearly evidenced by the spate of insider trading cases recently announced by the SEC....
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Insider Trading Enforcement Program
​The Securities and Exchange Commission had a very busy week, bringing several high-profile insider trading cases in a clear demonstration of its commitment to continue to aggressively investigate and prosecute illegal insider trading, including in the crypto space. In the first case, the SEC filed insider trading charges against Stephen Buyer, a former U.S. Representative...
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In an enforcement action filed in federal court last week, the Securities and Exchange Commission alleged that Keith Wakefield, the former head of fixed income trading at IFS Securities, engaged in unauthorized trading in fixed income investments causing the loss of millions and fraudulently generated over $800,000 in fictitious commission revenues, all of which ultimately...
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SEC Insider Trading Lawyer
Help from a SEC Insider Trading Lawyer The Securities and Exchange Commission recently charged an individual with illegal insider trading in the securities of Mylan N.V., his former employer.  The trader made profits and avoided losses in excess of $8 million in advance of four public announcements from October 2017 through July 2019. In its...
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The Securities and Exchange Commission has filed an enforcement action against attorney Frederick Bauman alleging he played a vital role as legal counsel in facilitating the unregistered sale of securities by two groups engaged in a securities fraud. Per the SEC complaint, from 2016 through August 2019, Bauman inked approximately a dozen legal opinions falsely...
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