Broker-Dealers

  • Use a “finder” or “placement agent”? Think again.

    • March 5, 2017
    • Posted by: Rich Gora
    • Category: Broker-Dealers, Energy, Exchange Act of 1934, Finders, Form D, Litigation, Oil and Gas, Placement Agents, Private Placements, Securities, Securities Act of 1933, Securities registration
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    connecticut securities litigation Gora Stamford

    The SEC cracks down on boiler room fraud, gets $15.5 million judgment against oil and gas issuer. The US District Court in Texas granted summary judgment in favor of the SEC against promoters Leon Ali Parvizian and his two Dallas-based companies, Arcturus Corporation and Aschere Energy, LLC, Alfredo Gonzalez and AMG Energy, LLC, and Robert Balunas and

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