attorney opinion letters

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SEC Charges Securities Lawyer and Microcap Agent with Fraud

Posted on July 15, 2019 by PubCoCEO Staff Leave a comment

Last week, The Securities and Exchange Commission charged an Arizona-based attorney and a Missouri-based agent of microcap shell companies with securities fraud and registration violations. According to the SEC’s complaint, from February 2015 to April 2017, attorney William Scott Lawler engaged in schemes to fraudulently transfer control over the shares of two publicly-traded shell companies to his client. The SEC

SEC Charges Microcap Fraudster with Running a Pump-and-Dump Scheme

Posted on April 29, 2019 by PubCoCEO Staff Leave a comment

This week, The Securities and Exchange Commission charged David M. Loflin for his role in a pump-and-dump scheme in the stock of Greenway Design Group, Inc., a Phoenix, Arizona company that was secretly controlled by Loflin’s now-deceased business partner. According to the SEC’s complaint, in 2013, Loflin helped his business partner gain control of Greenway, using a front company to