Selecting an attorney for legal cases is a very important decision. Please enter your information below to receive a Free Consultation from an attorney in your area:
The Securities and Exchange Commission today announced the institution of administrative and cease-and-desist proceedings against Winter Park, Fla.-based Park Financial Group, Inc. and its principal, Gordon Cantley. In the Order Instituting Proceedings, the Division of Enforcement alleges that Park and Cantley aided and abetted and caused a pump-and-dump scheme involving the securities of Spear & Jackson, Inc. and failed to file Suspicious Activity Reports (SARs) reporting suspicious transactions, in violation of the firm's record-keeping obligations.
The Commission has already obtained injunctive relief against Dennis P. Crowley, the former chief executive officer of Spear & Jackson, for violations of the antifraud, registration and reporting provisions of the federal securities laws in connection with his role in the pump-and-dump scheme. Read more at sec.gov.
Definition:
A swap whose cash settlement price is calculated based on the basis between a futures contract and the spot price of the underlying commodity or a closely related commodity on a specified date.
Exercise Price (Strike Price)
Definition:
The price, specified in the option contract, at which the underlying futures contract, security, or commodity will move from seller to buyer.
Accommodation Trading
Definition:
Non-competitive trading entered into by a trader, usually to assist another with illegal trades.
If you live in the following cities and need an securities attorney you should contact
our Securities Attorney as soon as possible:
Branford
Bridgeport
Bristol
Cheshire
Danbury
East Hartford
East Haven
Enfield
Fairfield
Glastonbury
Greenwich
Groton
Guilford
Hamden
Hartford
Manchester
Meriden
Middletown
Milford
Naugatuck
New Britain
New Haven
New London
New Milford
Newington
North Haven
Norwalk
Norwich
Ridgefield
Shelton
South Windsor
Southington
Stamford
Stratford
Torrington
Trumbull
Vernon Rockville
Wallingford
Waterbury
West Haven
Westport
Wethersfield
Windsor
Legal Disclaimers All attorney listings are a paid attorney advertisement, and do not in any way constitute a referral or endorsement by an approved or authorized lawyer referral service. The information provided on Connecticut Securities Lawyers.com is not intended to be legal advice, but merely conveys
general information related to legal issues commonly encountered. Your access
to and use of this website is subject to additional Terms
and Conditions.
Local Professional? Generate new business today
Call 866-227-9356 or contact a sales rep
Did You Know?