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Articles Posted in SEC disciplinary action

Publicly available records provided by the Securities and Exchange Commission (SEC) on November 29, 2018 indicate that the SEC has reached a settlement of charges against Floyd Mayweather, a professional boxer, and DJ Khaled, a hip-hop producer, in connection to their paid promotion of investments in cryptocurrency Initial Coin Offerings, or ICOs. According to the […]

A news release issued by the Securities and Exchange Commission (SEC) on September 13, 2018 reports that the SEC has issued charges against Gregory Lemelson, a hedge fund adviser, and Lemelson Capital Management LLC, his Massachusetts-based investment advisory firm, alleging they “illegally profit[ed] from a scheme to drive down the price” of Ligan Pharmaceuticals, a […]

Publicly available records provided by the Securities and Exchange Commission (SEC) and accessed on August 14, 2018 indicate that the SEC has obtained an emergency asset freeze, a temporary restraining order, and a preliminary injunction to halt an “ongoing offering fraud” carried out by three entities: Marianne Sandor; Edward Porazzo; her husband; and Moddha Interactive, […]

Publicly available records published by the Securities and Exchange Commission (SEC) on July 19, 2018 indicate that the SEC has charged Bhushan Dandawate with aiding and abetting a fraud committed by three entities—Quadrant 4 System Corporation, Nandu Thondavadi, and Dhru Desai—by “falsely claiming in bank documents that he controlled ten entities that were, in reality, […]

Publicly available records published by the Securities and Exchange Commission (SEC) on April 30, 2018 indicate that the US District Court for the District of Massachusetts has entered a default judgment in an SEC enforcement action against Christopher Esposito, owner and managing director of Lionshare Ventures LLC, in connection to allegation that the company participated […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), and accessed on July 25, 2018, indicate that former Massachusetts-based Royal Alliance Associates broker/adviser Kimberly Kitts has been charged by the SEC with “defrauding multiple clients by stealing over three million dollars from their investment and retirement […]

Publicly available records provided by the Securities and Exchange Commission (SEC) and accessed on July 3, 2018 indicate that Morgan Stanley Smith Barney in connection to allegations it failed to protect against the misuse or misappropriation of client funds by its personnel. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Morgan […]

Publicly available records published by the Securities and Exchange Commission (SEC) and accessed on June 28, 2018, as well as contemporaneous news reports, indicate that the SEC has fined Wells Fargo Advisors in connection to alleged misconduct “in the sale of financial products known as market-linked investments, or MLIs, to retail investors.” Fitapelli Kurta is […]

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