Robert F.X. Sillerman

The Securities and Exchange Commission today charged New Hampshire resident Robert F.X. Sillerman, the former CEO of Function(x), Inc., with orchestrating an offering fraud and diverting offering proceeds to repay loans he had previously made to the company. According to the SEC’s complaint, Function(x), Inc., formerly an online publishing and entertainment business, incurred significant losses […]

Diane D. Dalmy

Litigation Release No. 24523 / June 28, 2019 Securities and Exchange Commission v. Diane D. Dalmy, No. 19-civ-00745 (D. Colo. Mar. 13, 2019) The Securities and Exchange Commission today charged lawyer Michael J. Woodford for his role in a fraudulent scheme to conceal attorney Diane D. Dalmy’s involvement in preparing legal opinion letters concerning the […]

Diane D. Dalmy

Litigation Release No. 24523 / June 28, 2019 Securities and Exchange Commission v. Diane D. Dalmy, No. 19-civ-00745 (D. Colo. Mar. 13, 2019) The Securities and Exchange Commission today charged lawyer Michael J. Woodford for his role in a fraudulent scheme to conceal attorney Diane D. Dalmy’s involvement in preparing legal opinion letters concerning the […]

Johnny R. Thomas, et al.

Litigation Release No. 24522 / June 28, 2019 Securities and Exchange Commission v. Johnny R. Thomas, et al., Civil Action No. 19-cv-1132 (D. Nev., filed June 28, 2019) The Securities and Exchange Commission today filed charges against four former executives of Blue Earth Inc., a now-bankrupt alternative and renewable energy services company, stemming from their […]

Report on Initial Public Offering Applications, Delisting and Suspensions (As at 28 June 2019)

Report on Initial Public Offering Applications, Delisting and Suspensions (As at 28 June 2019) Market Operations 28 Jun 2019 Report on Initial Public Offering Applications, Delisting and Suspensions(As at 28 June 2019)  (1) Includes application(s) by investment vehicle(s) pursuant to Chapters 20 and 21 of the Main Board Listing Rules, application(s) for transfer of listing […]

TSX Delisting Review – Argex Titanium Inc. (RGX)

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Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni

Litigation Release No. 24515 / June 27, 2019 Securities and Exchange Commission v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni, No. 18-CV-11390 (S.D.N.Y. filed December 6, 2018) Rajeshwar Gannamaneni has agreed to settle the Securities and Exchange Commission’s case against him, paying nearly $800,000 in disgorgement, prejudgment interest, and a civil penalty. On […]

Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni

Litigation Release No. 24515 / June 27, 2019 Securities and Exchange Commission v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni, No. 18-CV-11390 (S.D.N.Y. filed December 6, 2018) Rajeshwar Gannamaneni has agreed to settle the Securities and Exchange Commission’s case against him, paying nearly $800,000 in disgorgement, prejudgment interest, and a civil penalty. On […]

Comer Capital Group, LLC and Brandon L. Comer

Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer Capital Group, LLC and Brandon L. Comer, No. 19-civ-04324 (N.D. Ill.) filed June 27, 2019 The Securities and Exchange Commission today charged a municipal advisor and its principal with breaching its fiduciary duty in connection with a $6 million municipal bond offering […]