SEC Archives - Focus Law LA

SEC Sues Orange County Firm Accused of Defrauding Investors Seeking Permanent Residency

by FOCUS LAW | Jan 17, 2017 | Civil Litigation

It’s never a good thing to have a federal judge order a freeze on your business’ assets. That’s what happened to an Orange County firm that federal officials claim stole money from foreign investors, mostly Chinese citizens, who hoped their cash would lead to...

Jammin’ Java Corporation Shareholders Not Feeling Alright

by FOCUS LAW | May 2, 2016 | Business Start Ups, Corporate Law

Bob Marley is the world’s most recognized reggae superstar even 34 years after his death. His socially conscious music touched people across the globe and we can only imagine what he might think of his family name being associated with possible shareholder fraud. The...

Insider Trading is No Game: SEC’s Increased Scrutiny of Insider Info Spread on the Links

by FOCUS LAW | Dec 18, 2014 | Business Litigation, Business Start Ups, Corporate Law

The game of golf has long been associated with business owners getting together, enjoying a round or two and using the time together to work out deals. That’s all well and good when the parties stick to the rules of the game and laws that apply to business. “Golf is...

Failure to Disclose as Fraud Under the Securities and Exchange Act

by FOCUS LAW | Oct 16, 2014 | Business Litigation, Corporate Law, Partnership Law

Corporate officers face an ever expanding and deepening pool of potential legal liability when it comes to running their business and making (or not making) disclosures about it. A recent case involving the federal Securities and Exchange Commission (SEC) and a...

Men Behaving Badly: Insider Trading Bans Apply to Family Members of Executives

by FOCUS LAW | May 23, 2014 | Business Litigation, Business Start Ups, Corporate Law, Uncategorized

Greed can end up costing you a lot of money and grief, especially if it motivates you to engage in insider trading. If it also involves your spouse, it won’t help your marriage either. Two California husbands of business executives learned that the hard way, according...