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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 Seeks Public Comment on Plan to Create A Consolidated Audit Trail
Posted by on 04/27/2016 at 3:45 PM

The Securities and Exchange Commission today voted to publish for public comment a proposed national market system (NMS) plan to create a single, comprehensive database that would enable regulators to efficiently track all trading activity in the U.S. equity and options market. The plan for the […]

SEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee
Posted by on 04/21/2016 at 9:00 PM

The Securities and Exchange Commission today announced the agenda for its Equity Market Structure Advisory Committee meeting on April 26.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on […]

SEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility
Posted by on 04/21/2016 at 7:50 PM

The Securities and Exchange Commission today issued an order to extend for one year the pilot period of the National Market System Plan to Address Extraordinary Market Volatility, commonly known as the limit up-limit down (LULD) plan.   The Commission also approved a modification to the […]

SEC Announces Financial Fraud Cases
Posted by on 04/19/2016 at 2:55 PM

The Securities and Exchange Commission today announced a pair of financial fraud cases against companies and then-executives accused of various accounting failures that left investors without accurate depictions of company finances. In one case, technology manufacturer Logitech International […]

SEC Offers Online Tool to Help Companies Estimate Registration Fees
Posted by on 04/18/2016 at 3:15 PM

The Securities and Exchange Commission today announced the release of an online tool to help companies calculate registration fees for certain form submissions to EDGAR, the SEC’s electronic database of financial reports and other filings.  The new tool is intended to improve the […]

SEC Charges Litigation Marketing Company With Bilking Retirees
Posted by on 04/15/2016 at 4:15 PM

The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty […]

SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Posted by on 04/15/2016 at 12:00 PM

The Securities and Exchange Commission voted on April 13 to adopt final rules implementing a comprehensive set of business conduct standards and chief compliance officer requirements for security-based swap dealers and major security-based swap participants (security-based swap entities). The […]

SEC Solicits Public Comment on Business and Financial Disclosure Requirements in Regulation S-K
Posted by on 04/15/2016 at 12:00 PM

The Securities and Exchange Commission voted on April 13 to publish a concept release discussing and seeking public comment on modernizing certain business and financial disclosure requirements in Regulation S-K.  The Commission is interested in receiving input on whether the disclosure […]

SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings
Posted by on 04/14/2016 at 3:45 PM

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Vermont-based ski resort and related businesses allegedly misusing millions of dollars raised through investments solicited under the EB-5 Immigrant Investor Program.   The SEC’s case was […]

SEC: Town Officials in New York Hid Financial Troubles From Bond Investors
Posted by on 04/14/2016 at 3:00 PM

The Securities and Exchange Commission today announced fraud charges against Ramapo, N.Y., its local development corporation, and four town officials who allegedly hid a deteriorating financial situation from their municipal bond investors. The SEC alleges that Ramapo officials resorted to […]

SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account
Posted by on 04/14/2016 at 12:25 AM

The Securities and Exchange Commission today announced insider trading charges against a research analyst who allegedly reaped more than $1.5 million in February through trades he made in his mother’s brokerage account based on nonpublic information he learned at work. The SEC alleges […]

Marshall Sprung, Co-Chief of Asset Management Unit, to Leave SEC After 13 Years of Service
Posted by on 04/11/2016 at 6:00 PM

The Securities and Exchange Commission today announced that Marshall S. Sprung, co-chief of the Division of Enforcement’s Asset Management Unit, is planning to leave the agency later this month. As co-head of the unit for the past two-and-a-half years, Mr. Sprung has overseen a nationwide […]

SEC: Company Misled Investors About Energy-Efficient Technology
Posted by on 04/11/2016 at 4:45 PM

The Securities and Exchange Commission today announced fraud charges against a Texas-based technology company and its founder accused of boosting stock sales with false claims about a supposedly revolutionary computer server and big-name customers purportedly placing orders to buy it. Also […]

Las Vegas Sands Paying Penalty for FCPA Violations
Posted by on 04/07/2016 at 4:55 PM

The Securities and Exchange Commission today announced that Las Vegas Sands Corp. has agreed to pay a $9 million penalty to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by failing to properly authorize or document millions of dollars in payments to a consultant […]

SEC Charges Four in Fraudulent “Free Dinner” Scheme
Posted by on 04/04/2016 at 5:55 PM

The Securities and Exchange Commission today announced that it has charged four individuals in a fraud whose victims included seniors who were solicited at “free dinner” investment seminars in Florida. The SEC alleges that Philadelphia residents Joseph Andrew Paul and John D. Ellis, […]

SEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine
Posted by on 03/31/2016 at 6:20 PM

The Securities and Exchange Commission today charged Navistar International Corp. with misleading investors about its development of an advanced technology truck engine that could be certified to meet U.S. emission standards. Navistar, without admitting or denying the charges, has reached a […]

SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use
Posted by on 03/30/2016 at 3:55 PM

The Securities and Exchange Commission today announced that a San Francisco-based biotech venture capitalist has agreed to settle charges that he siphoned money from a fund managed by his firm in order to prop up other struggling businesses he owned and finance his lavish lifestyle. An SEC […]

Former TV Commentator Settles Penny Stock Fraud Charges
Posted by on 03/29/2016 at 6:35 PM

The Securities and Exchange Commission today announced that a former market analyst and TV news commentator has agreed to settle charges that he and his company fraudulently promoted a penny stock to investors. The SEC alleges that Tobin Smith and NBT Group Inc. were paid to prepare and […]

SEC: Biotech Company Misled Investors About New Drug's Status With FDA
Posted by on 03/29/2016 at 3:55 PM

The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based biotech company and three former executives for misleading investors about the company’s efforts to obtain Food and Drug Administration (FDA) approval for its flagship developmental drug to […]

Securities Professional Charged With Defrauding Institutional Investors
Posted by on 03/28/2016 at 2:25 PM

The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose name was deceptively similar to that of a legitimate private equity fund.  According to the SEC […]