Selling Unregistered Securities – Is It Legal? Selling (or offering) unregistered securities to public investors is a serious form of broker misconduct. Before stocks, bond[...]
Unregistered Securities
The SEC alleges that Fernandez and Denizard misappropriated more than $1 million for their own use and operated numerous Ponzi schemes. The Sonn Law Group is[...]
Hoffman is accused of selling unregistered GT Media, Inc. securities to 46 investors in at least twelve states. The Sonn Law Group is investigating claims that[...]