by wittenberglaw | May 12, 2012 | Cases and News, Uncategorized
Bloomberg reported today that the Securities and Exchange Commission (SEC) Inspector General H. David Kotz was accused by another SEC employee of misconduct during investigations of fraud by the SEC. According to Bloomberg, Chairman Mary Schapiro and Commissioner...
by wittenberglaw | Nov 17, 2011 | Cases and News, press-release, Recent Cases & News_cat, Uncategorized
Press Release: Banner 6 Months for Wittenberg Law For Immediate Release Date June 22, 2011 Jeffrey Wittenberg, Esq. 877-352-2010 Wittenberg Law has had a banner first half of 2011. In January, Wittenberg Law achieved an excellent settlement in a commercial dispute...
by wittenberglaw | Oct 5, 2011 | Uncategorized
Finra Rule 8312 governs the information Finra releases to the public via its BrokerCheck database, which contains information on the professional background, business practices, and conduct of Finra member firms and their associated persons (i.e., financial...
by wittenberglaw | Oct 3, 2011 | Uncategorized
On September 28, 2011, the Securities and Exchange Commission (“SEC”) charged Corey Ribotsky, an unregistered investment adviser based in Long Island, New York, with fraud and misappropriation of more than $1 million in client assets. The SEC alleged violations under...
by wittenberglaw | Sep 29, 2011 | Uncategorized
On Septemaber 23, 2011, the Securities and Exchange Commission (SEC) charged Jason G. Rivera, Jr., Marc C. Harmon, and Rivera’s companies Joseph Rene Corporation (JRC) and Executive Members Management Group (EMMG) with fraud for luring investors into fraudulent...
by wittenberglaw | Sep 28, 2011 | Uncategorized
On September 23, District Judge Deborah A. Batts of the Southern District of New York handed down her decision to dimiss all claims against J. Ezra Merkin (“Merkin”), the hedge funds (“Funds”) that he managed, and the auditors of the Funds....
