September 3, 2020/US SEC The Securities and Exchange Commission today filed charges against John M. Fife of Chicago and companies he controls for acquiring and selling more than 21 billion shares of penny stock without registering as a securities dealer with the SEC. The SEC’s complaint [insert hyperlink], alleges that […]
Frauds & Scandals
Former Registered Representative Criminally Indicted On Charges of Securities Fraud, Mail Fraud
September 3, 2020/US SEC On September 1, 2020, an indictment against Phillip W. Conley, a West Virginia-based former registered representative who was charged by the SEC in an enforcement action filed on April 16, 2020, was unsealed in a parallel criminal action on six counts of mail fraud and one […]
SEC Charges Attorney with Assisting Fraudulent Microcap Scheme
September 3, 2020/US SEC The Securities and Exchange Commission today charged New York resident Peter DiChiara for his role as an attorney in an alleged scheme to manipulate and illegally sell the stock of a publicly traded company, Environmental Packaging Technologies Holdings, Inc. DiChiara has agreed to settle the charges […]
