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Unregistered Securities

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...

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...

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...