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FORMER NFL PLAYER ALLEGEDLY INVOLVED IN PONZI SCHEMEby Jonathan C. Dunsmoor & Todd Feinstein

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Posted in: Feinstein Law Blog

The U.S. Securities and Exchange Commission announced fraud charges against former NFL cornerback, William D. Allen and his business partner, Susan C. Daub. According to the SEC complaint unsealed late yesterday, Allen and Daub allegedly operated a Ponzi scheme that raised more than $31 million from investors who were promised

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What Happens When A Public Company Declares Bankruptcy?by Jonathan C. Dunsmoor & Todd Feinstein

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Posted in: Feinstein Law Blog

The decision to declare bankruptcy has a significant affect on a public company including tremendous ramifications for investors of that company. The decision to declare bankruptcy is often coupled with crippling, overwhelming debt that the public company does not believe it can pay back under the current terms of the

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What is an Emerging Growth Company?by Jonathan C. Dunsmoor & Todd Feinstein

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Posted in: Feinstein Law Blog

Define: Emerging Growth Company Under the Jumpstart Our Business Startups (“JOBS”) Act of 2012, a new category of issuer was created called an “emerging growth company” (“EGC”) for the initial public offering (“IPO”) on-ramp. An EGC is an issuer whose initial public offering was or will be completed after December

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$500 MILLION PONZI SCHEME CREATED BY MRI INTERNATIONAL INC AND CEO EDWIN FUJINAGA TO SCAM JAPANESE INVESTORSby Jonathan C. Dunsmoor & Todd Feinstein

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Posted in: Feinstein Law Blog

According to SEC pleadings and other court papers, MRI International, Inc. and CEO Edwin Fujinaga had a simple pitch to investors MRI was using their funds to buy accounts receivable from medical providers at a discount and subsequently collecting the full value of those receivables from insurance companies. Except that

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LEFT BEHIND GAMES MUST LEAVE BEHIND $6.2 MILLION FOR REVENUE INFLATION SCHEMEby Jonathan C. Dunsmoor & Todd Feinstein

Posted in: Feinstein Law Blog

In September of 2013, the U.S. Securities and Exchange Commission (“SEC”) charged the founder and CEO of a religious-themed video game manufacturer, Left Behind Games, Inc. (“LBG”), Troy Lyndon of Honolulu and his friend and purported consultant, Ronald Zaucha of Maui and Orange County, California, with scheming to falsely inflate

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STANDARD & POOR’S SETTLES WITH SEC, NY, AND MA FOR $77 MILLIONby Jonathan C. Dunsmoor & Todd Feinstein

Posted in: Feinstein Law Blog

On January 21, 2015, the U.S. Securities and Exchange Commission announced a series of federal securities law violations against Standard & Poor’s Financial Services, LLC. (S&P) as parallel cases were announced by the New York Attorney General’s Office and the Massachusetts Attorney General’s Office, involving fraudulent misconduct in the company’s

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AVON CANNOT MAKE UP EXCUSES FOR SEC CHARGES INVOLVING CHINESE BRIBESby Jonathan C. Dunsmoor & Todd Feinstein

Posted in: Feinstein Law Blog

On December 17, 2014, the U.S. Securities and Exchange Commission (“SEC”) charged Avon Products, Inc. (“Avon”), a global beauty products manufacturer and seller, with failing to have corporate controls and oversight that could have detected and prevented payments made in violation of the Foreign Corrupt Practices Act (“FCPA”). The Foreign

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Seed Capital via Rule 504 of Regulation Dby Jonathan C. Dunsmoor & Todd Feinstein

Posted in: Feinstein Law Blog

One of the most troubling times for startups and small micro capitalization companies is the funding period were a company has a tremendous idea and now needs capital to make their dream become a reality. Most cannot rely on a wealthy relative to fund their project, or even if they

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