In Your Interest
September 1, 2018/US SEC On August 30, 2018, the Securities and Exchange Commission charged two Bowling Green, Kentucky-area men with defrauding investors in oil-and-gas securities offerings. The SEC’s complaint, filed in federal court in Bowling Green, Kentucky, alleges that Scott Stacy Phelps and James Michael Harper raised approximately $611,000 by […]
August 31, 2018/US SEC The Securities and Exchange Commission today charged the former Chief Commercial Officer of Redwood City, Calif.-based Qualys, Inc., a cloud security and services company, with insider trading by tipping his brothers in advance of the company’s announcement of poor financial results, thus helping them avoid losses […]
August 31, 2018/US SEC The Securities and Exchange Commission today filed charges against a Buffalo, New York, investment advisory firm and its owner for misleading firm clients about its association with a barred investment adviser, who is also being charged for violating the bar. The SEC’s complaint alleges that in […]