The seal of the U.S. Securities and Exchange Commission at their headquarters in Washing...

SEC accuses lawyer, others of profiting from unregistered share sales – Reuters

The seal of the U.S. Securities and Exchange Commission at their headquarters in Washington, D.C. REUTERS/Andrew KellySummaryRelated documentsSEC says defendants profited from backdated convertible notesSuit says first note sold as part of a reverse merger(Reuters) - The U.S. Securities and Exchange Commission has accused six individuals, including an attorney, of violating securities laws by participating in the unregistered sales of more than $5.7 million worth of shares in 2017.The regulator’s lawsuit claims that attorney Roger Leon Fidler, his law clerk and investor relations contact Richard Oravec broke the law after arranging a merger between shell company Dolat Ventures Inc and …

 

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