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Securities and Exchange Commission v. Sayid et al

  1. April 07, 2020

    Texas Atty Fights SEC's Proposed 'Draconian' Punishment

    A veteran Texas lawyer is seeking to mitigate the severity of a punishment that may soon be handed down in an action he faces in New York federal court accusing him of playing a role in a pump-and-dump scheme.

  2. April 03, 2020

    Securities Atty Fights 'Too Severe' SEC Judgment Request

    A Manhattan securities attorney accused by the U.S. Securities and Exchange Commission of playing a role in a pump-and-dump scheme tried to persuade a federal judge Friday that he doesn't deserve judgment as drastic as the terms the SEC suggested.

  3. November 26, 2019

    SEC Wins Early End To Pump-And-Dump Suit Against Attys

    The U.S. Securities and Exchange Commission won an early end to its suit against two securities attorneys accused of facilitating a pump-and-dump scheme Monday, when a New York federal judge found that there was no real dispute as to the lawyers' liability.

  4. February 12, 2019

    SEC, 2 Attorneys Face Off Over Pump-And-Dump Claims

    The U.S. Securities and Exchange Commission and two securities lawyers it accused of facilitating a pump-and-dump scheme went head-to-head in a series of filings in New York federal court Monday, with the regulator pushing for summary judgment and the defendants responding that the case should go to trial.

  5. January 11, 2018

    Atty Can't Duck SEC Suit Over Pump-And-Dump Scheme

    A New York federal judge on Wednesday refused to toss the SEC's claims against a Texas attorney linked to another's scheme to take control of two companies and "pump and dump" the stock, ruling the agency had shown enough evidence he was negligent or complicit in conveying the false information.

  6. June 16, 2017

    Paralegal In Atty's Pump-And-Dump Scheme Settles With SEC

    A paralegal who was sued by the Securities and Exchange Commission for allegedly serving as a straw director of two companies in a securities lawyer's pump-and-dump scheme has agreed to assist authorities and pay an unspecified amount in disgorgement and penalties, according to papers filed in New York federal court on Friday.

  7. April 12, 2017

    SEC Says Attys' Takeover Of Co. Was Pump-And-Dump Ploy

    The Securities and Exchange Commission sued two attorneys and a paralegal in New York federal court Wednesday, accusing the three of participating in an effort to gain control of two public companies and sell more stock than regulations allowed for in order to initiate a "pump and dump" scheme.