LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

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SEC & DOJ Prosecutions

Muni-Bond Issuer Ordered to Cease-and-Desist for False Statement in Offering Documents

In the Matter of West Clark Community Schools, Respondent

SEC & DOJ Prosecutions

Ponzi Scheme Results in Injunctions and Over $10 Million in Sanctions

SEC v. Marcin Malarz and Jacek Sienkiewicz

SEC & DOJ Prosecutions

Settlement of Insider Trading Charge in Advance of Aon Merger with Hewitt Associates

SEC v. M. Jason Hanold

SEC & DOJ Prosecutions

SEC Halts Misappropriation Scheme By Former Registered Representative

SEC v. Edward L. Moskop and Financial Services Moskop & Associates, Inc.

SEC & DOJ Prosecutions

Cease-and-Desist and Bar Order Entered Against Investment Adviser on Charges of Fraudulently Inflated AUM

In the Matter of Umesh Tandon, Respondent

SEC & DOJ Prosecutions

Former Salesperson for Nikolai Battoo Ordered to Cease-and-Desist, Barred and Fined

In the Matter of Michael T. Seabolt, Respondent

SEC & DOJ Prosecutions

Settlement Reached with Accountants for Battoo Victims

In the Matter of Johnson Lambert LLP and Bradley Scott Diericx, CPA, Respondents

SEC & DOJ Prosecutions

Administrative Relief Awarded for Fund Management Malfeasance

In the Matter of Ambassador Capital Management, LLC, and Derek H. Oglesby

SEC & DOJ Prosecutions

Investment Adviser and Principal Ordered to Cease-and-Desist Violations of Rule 105, Regulation M

In the Matter of Pennington Capital Management LLC andRobert J. Evans, Respondents

SEC & DOJ Prosecutions

Former La Crosse, Wisconsin Resident Enjoined and Barred on Fraud Charges

SEC v. Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR and The New Yorker
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