May 29, 2024
An attorney and her husband have told a Florida federal judge that it's too late for the U.S. Securities and Exchange Commission to reopen its case against them and seek civil penalties over a microcap scheme after almost four years of doing nothing to prosecute the case.
June 16, 2020
A Florida federal judge barred a lawyer and her husband from serving as an officer or director of a public company and trading penny stocks in judgments entered Tuesday in a U.S. Securities and Exchange Commission case over a pair of microcap schemes.
September 03, 2019
Two federal judges refused to step down Tuesday from a U.S. Securities and Exchange Commission suit over a Florida attorney and her husband's alleged involvement in a pair of microcap schemes, saying the couple failed to show they are biased.
August 19, 2019
The U.S. Securities and Exchange Commission on Monday opposed a bid for new judges in its case against a Florida attorney and her husband over their involvement in a pair of microcap schemes, arguing they have raised "woefully insufficient" claims of bias.
August 13, 2019
A lawyer accused by the U.S. Securities and Exchange Commission of running a pair of microcap schemes called on a Florida federal judge and a magistrate overseeing the case to recuse themselves Tuesday, saying both have shown bias.
September 20, 2018
A woman whom the U.S. Securities and Exchange Commission accused of assisting in a scheme to create sham public companies has been barred from serving as an officer or director of a public company and trading penny stocks, a Florida federal judge announced Thursday.
June 21, 2018
The U.S. Securities and Exchange Commission asked a Florida federal judge on Wednesday to strike the affirmative defenses of a securities lawyer accused of running a pair of microcap schemes with undisclosed "blank check" companies, rebuffing her assertions that the SEC's claims are time-barred.
April 30, 2018
The U.S. Securities and Exchange Commission announced Monday that it has filed claims against a lawyer and two others in Florida federal court over a pair of microcap schemes involving undisclosed "blank check" companies.