Unregistered Securities

Barry Bekkedam Accused of Securities Fraud in Connection with Scott Rothstein’s Ponzi Scheme

Barry R. Bekkedam, the former owner, Chairman, and CEO of Ballamor Capital Management, LLC, is accused of committing securities fraud by the Securities and Exchange Commission (“SEC”). From April through October 2009, Bekkedam encouraged his clients and others to invest approximately $100 million in a fund...

07 May, 2014

Kenneth Carlton Accused of Using Bad Science to Solicit Investments for Nekekim Gold Mining Operation

Hundreds of individuals invested over $16 million in a fruitless gold mining venture organized by Nekekim Corporation and its CEO, Kenneth Carlton, according to a complaint filed by the Securities and Exchange Commission. Nekekim and Carlton defrauded investors by stating that a special “complex ore” found...

15 April, 2014

SEC Alleges Bret L. Boteler Committed Securities Fraud

Bret L. Boteler, the president of EnerMax, Inc., raised $17.26 million through the fraudulent offer and sale of securities to over 250 investors in more than 40 states without registering any offering, according to a complaint filed by the Securities and Exchange Commission (SEC). Boteler used...

31 March, 2014

Brown Brothers Harriman & Co. Fined for Compliance Failures

The Financial Industry Regulatory Authority (“FINRA”) recently announced that it was fining Brown Brothers Harriman & Co. (BBH) $8 million for failing to meet its compliance obligations relating to anti-money laundering compliance. Such failures caused BBH to fail to discover suspicious activity related to low...

21 February, 2014

George J. Bussanich and George Bussanich Charged with $3.5 Million Scam

George J. Bussanich, a 55-years old man from Park Ridge and his son George Bussanich, 34-years old, of Upper Saddle River, are facing charges for engaging in securities fraud through the sales of unregistered notes in New Jersey. The Bussaniches allegedly sold unregistered notes to unsuspecting investors and promised...

05 February, 2014

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