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Sherman Law Offices is honored you have taken the time to seek out our team; we hope to be of value for you and your business.
Our firm has over twenty-two years’ of experience working with business owners. We
can help with securities offerings, corporate entity formation, trust formation, and almost any other legal issue that presents itself to your business, or to you as a business owner. Our firm maximizes efficiency while keeping your legal costs down.
If you are in the middle of a project, just starting one, or simply considering your
options, we would like to help. We can schedule a free telephone call to hear about your business, offer some preliminary advice, and inform you of what you can and should do next. Please do not hesitate to email or call and we will gladly schedule a mutually convenient time for a consultation.
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive.
The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance of loan assets in three collateralized loan obligation (CLO) funds they manage. The SEC’s Enforcement Division alleges […]
The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering despite obtaining a due diligence report indicating that the China-based company’s offering materials contained false information. […]
The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the SEC as a broker-dealer as required under the federal securities laws. The […]
The Securities and Exchange Commission today adopted final rules to facilitate smaller companies’ access to capital. The new rules provide investors with more investment choices. The new rules update and expand Regulation A, an existing exemption from registration for smaller […]
The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of a national securities association. The amendments would enhance regulatory oversight of active proprietary trading firms, such as high […]
The Securities and Exchange Commission today charged eight officers, directors, or major shareholders for failing to update their stock ownership disclosures to reflect material changes, including steps to take the companies private. Each of the respondents, without admitting or denying the […]
The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing to adequately supervise registered representatives who misappropriated customer funds. H.D. Vest Investment Securities agreed to settle the […]
The Securities and Exchange Commission today announced a whistleblower award payout between $475,000 and $575,000 to a former company officer who reported original, high-quality information about a securities fraud that resulted in an SEC enforcement action with sanctions exceeding $1 million. […]
The Securities and Exchange Commission today announced it has suspended trading in 128 inactive penny stock companies to ensure they don’t become a source for pump-and-dump schemes. The trading suspensions are the latest in a microcap fraud-fighting initiative known as Operation […]
The Securities and Exchange Commission today charged a purported venture capital fund manager in Buffalo, N.Y., with fraudulently using money from three investment funds to pay fictitious returns to investors in a different fund. The SEC obtained an emergency asset freeze to halt the […]
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2015 is not required. These adjustments do not directly affect the amount of funding available to the SEC. The Section […]
The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies will focus on ways to increase the opportunities for investors in small and emerging companies to resell their shares, a concept referred to as secondary market […]
Securities and Exchange Commission Chair Mary Jo White hosted a meeting this morning with European Union Financial Services Commissioner Jonathan Hill. Chair White and Commissioner Hill discussed the importance of international cooperation in regulating global financial markets and a […]
The Securities and Exchange Commission today announced that Karen L. Martinez, Regional Director of the Salt Lake office, is leaving the agency and retiring this summer. Ms. Martinez joined the SEC’s Salt Lake office staff in 2002 as Trial Counsel, and she began supervising the […]
The Securities and Exchange Commission today charged Goodyear Tire & Rubber Company with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola. Goodyear agreed to pay more than $16 million to settle the SEC’s […]
The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law whom he allegedly tipped with nonpublic information ahead of the company’s merger. The SEC alleges that while serving as vice president […]
The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). An SEC investigation found that VCAP Securities and […]
The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against two operators of a Colorado-based pyramid and Ponzi scheme that promises investors extraordinary returns of 700 percent through a purported “triple algorithm” and “3-D […]
The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with stealing money from his investors. The SEC alleges that Moazzam “Mark” Malik falsely claimed to be operating a hedge fund with approximately $100 million in assets under […]
The Securities and Exchange Commission today announced that Pamela C. Dyson has been appointed as the SEC’s Chief Information Officer (CIO) in charge of overseeing the agency’s information technology functions. “Pam has been instrumental in our ongoing efforts to enhance the […]