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About Us-

Welcome to our website.

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.

Newsroom

Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.

SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
Posted by on 02/10/2016 at 7:15 PM

The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in connection with its dealing activity to include that transaction in […]

SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office
Posted by on 02/09/2016 at 8:15 PM

The Securities and Exchange Commission today announced that C. Dabney O’Riordan and Alka Patel have been named Associate Directors for Enforcement in the agency’s Los Angeles Regional Office. Ms. O’Riordan began working in the Los Angeles office in 2005 as a staff attorney, […]

Monsanto Paying $80 Million Penalty for Accounting Violations
Posted by on 02/09/2016 at 6:55 PM

The Securities and Exchange Commission today announced that St. Louis-based agribusiness Monsanto Company agreed to pay an $80 million penalty and retain an independent compliance consultant to settle charges that it violated accounting rules and misstated company earnings as it pertained to its […]

SEC Charges Company Executive With Insider Trading
Posted by on 02/05/2016 at 10:05 PM

The Securities and Exchange Commission today charged an executive at Stamford, Conn.-based electronics company Harman International Industries with insider trading in the company’s stock. The SEC alleges that Dennis Wayne Hamilton made more than $130,000 in illegal profits by trading on […]

SEC: Miami Firm Broke Anti-Money Laundering Protocols
Posted by on 02/04/2016 at 7:15 PM

The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities without verifying the identities of the non-U.S. […]

SEC Announces Advisory Committee on Small and Emerging Companies Members
Posted by on 02/04/2016 at 3:45 PM

The Securities and Exchange Commission today announced the members of its Advisory Committee on Small and Emerging Companies.  The advisory committee was established in 2011 and has been renewed twice for additional terms.  The renewed committee will hold its first meeting on Thursday, […]

SEC Charges Lending Company and Brokerage Firm With Fraud
Posted by on 02/03/2016 at 5:40 PM

The Securities and Exchange Commission today announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities.  The SEC also charged the brokerage firm that acted as the placement agent and two of its […]

SEC Names Jane Jarcho as Deputy Director of National Exam Program
Posted by on 02/03/2016 at 3:45 PM

The Securities and Exchange Commission today announced that Jane Jarcho has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).  Ms. Jarcho has been the National Director of OCIE’s Investment Adviser/Investment Company examination […]

SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
Posted by on 02/02/2016 at 7:30 PM

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2016 Regional Compliance Outreach Programs for Broker-Dealers that will take place in New York, Atlanta, Dallas, Boston, Chicago, and San Francisco, […]

SEC Completes Muni-Underwriter Enforcement Sweep
Posted by on 02/02/2016 at 5:05 PM

The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings.  The actions conclude charges against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. […]

SEC Charges Software Company With FCPA Violations
Posted by on 02/01/2016 at 7:20 PM

The Securities and Exchange Commission today announced that software manufacturer SAP SE has agreed to give up $3.7 million in sales profits to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) when procuring business in Panama. An SEC investigation found that SAP’s […]

Barclays, Credit Suisse Charged With Dark Pool Violations
Posted by on 01/31/2016 at 9:30 PM

The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s […]

SEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee
Posted by on 01/29/2016 at 3:15 PM

The Securities and Exchange Commission will hold the third meeting of the Equity Market Structure Advisory Committee on February 2, beginning at 9:30 a.m. EST.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and […]

Hedge Fund Manager Agrees to Reimburse Investor Losses
Posted by on 01/28/2016 at 7:45 PM

The Securities and Exchange Commission today announced that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have agreed to settle charges that they misled investors about a fund’s investment strategy and historical performance.  They will reimburse […]

Ocwen Paying Penalty for Misstated Financial Results
Posted by on 01/20/2016 at 9:10 PM

The Securities and Exchange Commission today announced that Ocwen Financial Corp. has agreed to settle charges that it misstated financial results by using a flawed, undisclosed methodology to value complex mortgage assets. Ocwen agreed to pay a $2 million penalty after an SEC investigation […]

Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service
Posted by on 01/20/2016 at 8:55 PM

The Securities and Exchange Commission today announced that Susan Nash, Associate Director in the Division of Investment Management, will leave the agency at the end of January. Ms. Nash has been a key architect of disclosure policy for mutual funds and other investment companies, and has led the […]

SEC: Alternative Fund Manager Overcharged Fees, Misled Investors
Posted by on 01/19/2016 at 5:45 PM

The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how it valued certain assets. An SEC investigation found that Equinox Fund Management LLC […]

SEC Awards Whistleblower More Than $700,000 for Detailed Analysis
Posted by on 01/15/2016 at 4:20 PM

The Securities and Exchange Commission today announced a whistleblower award of more than $700,000 to a company outsider who conducted a detailed analysis that led to a successful SEC enforcement action. “The voluntary submission of high-quality analysis by industry experts can be every […]

SEC Charges Goldman Sachs With Improper Securities Lending Practices
Posted by on 01/14/2016 at 7:05 PM

The Securities and Exchange Commission today announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations. According to the SEC’s order instituting a settled administrative proceeding, […]

SEC Charges State Street for Pay-to-Play Scheme
Posted by on 01/14/2016 at 6:15 PM

The Securities and Exchange Commission today announced that State Street Bank and Trust Company agreed to pay $12 million to settle charges that it conducted a pay-to-play scheme through its then-senior vice president and a hired lobbyist to win contracts to service Ohio pension funds. An SEC […]