SEC v. WILLIAM SCOTT LAWLER; and NATALIE B BANNISTER, No. 1:19-cv-04025, Eastern District of New York (July 15, 2019) — Complaint
raw: Comp Pr2019 130
Comp Pr2019 130, No. 1:19-cv-04025 (July 15, 2019)
Exhibit of William Scott Lawler and Natalie Bannister
Classified other(confidence 100%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →
Statutes
15 U.S.C. § 78j(b)15 U.S.C. § 78i(a)15 U.S.C. § 77t(b)15 U.S.C. § 78u(d)15 U.S.C. § 77t(d)28 U.S.C. § 133128 U.S.C. § 139115 U.S.C. § 77v(a)15 U.S.C. § 78aa15 U.S.C. § 77d(a)15 U.S.C. § 77q(a)15 U.S.C. § 77e(a)21 USC 88128 USC 15828 USC 15726 USC 760917 C.F.R. § 240.10b-517 C.F.R. 230.14417 CFR 239.11Sections 5(a), 5(c), and 17(a) of the Securities ActSections 5(a), 5(c), and 17(a) of the Securities ActSections 5(a), 5(c), and 17(a) of the Securities ActSection 10(b) of the Securities Exchange ActSection 20(b) of the Securities ActSection 20(d) of the Securities ActSections 20(b), 20(d), and 22(a) of the Securities ActSection 5 of the Securities ActSection 4(a)(4) of the Securities ActSection 4(a)(4) of the Securities ActRule 10b-5
Parties
Securities and Exchange CommissionWilliam Scott LawlerNatalie BannisterNatalie B Bannister
Keywords
comp
Extracted insights
Entities 15
- company brooke out, inc.
- company client a group
- person deceptive scheme
- person false legal opinion letters
- person false statements
- company imagene biotechnology corp.
- person natalie bannister
- person restricted shares
- agency Securities and Exchange Commission
- organization Securities and Exchange Commission
- company shell company
- scheme_term shell company with no or nominal operations
- person straw purchases
- person william scott lawler
- person william scott lawyer
Triples 49
- William Scott Lawyer participated in illegal stock offering scheme from August 2015 through March 2016
- Natalie Bannister participated in illegal stock offering scheme from August 2015 through March 2016
- William Scott Lawyer participated in illegal stock offering scheme from February 2015 through April 2017
- William Scott Lawyer manipulatively traded shares of Namie Corp. from December 2016 through January 2018
- Brooke Out, Inc. was shell company with no or nominal operations
- Imagene Biotechnology Corp. was shell company with no or nominal operations
- William Scott Lawyer deposited shares in brokerage accounts to enable public resale
- William Scott Lawyer provided false legal opinion letters claiming shares were 'freely tradable'
- Natalie Bannister engaged in straw purchases of BROK stock and deposited shares in two brokerage accounts
- Natalie Bannister made false statements
- William Scott Lawyer violated Securities Act registration provisions
- Natalie Bannister violated Securities Act registration provisions
- William Scott Lawyer orchestrated transfer of control of shell companies through stock sales to Client A and associates
- Client A Group resold shares to public
- Restricted shares could only be resold with registration or pursuant to an available exemption
- William Scott Lawler participated in a deceptive scheme from August 2015 through March 2016 involving unregistered sales of millions of shares of BROK Out, Inc.
- William Scott Lawler participated in a similar scheme from February 2015 through April 2017 involving Image Biotherapeutics Corp.
- William Scott Lawler manipulatively traded the shares of Namim Corp. from December 2016 through January 2018
- Natalie Bannister engaged in numerous acts in furtherance of the BROK Out fraudulent scheme, including straw purchases and depositing stock to establish eligibility for public trading
- William Scott Lawler provided false legal opinion letters to broker-dealers claiming shares were 'freely trading' when they were restricted
- William Scott Lawler deposited certain shares in brokerage accounts to enable resale to the public
- Securities and Exchange Commission filed a complaint against William Scott Lawler and Natalie Bannister for securities fraud
- Securities and Exchange Commission filed Complaint
- Securities and Exchange Commission alleges William Scott Lawler and Natalie Banister
- Securities Act of 1933 requires companies to disclose important financial information
- Securities Act of 1933 prohibits deceit, misrepresentations, and other fraud
- William Scott Lawler participated in deceptive scheme
- Natalie Banister participated in deceptive scheme
- William Scott Lawler engaged in unlawful, unregistered sales
- William Scott Lawler manipulated shares of Nam Corp
- Brok Out, Inc. is shell company
- Imagene Biotherapeutics Corp. is shell company
- William Scott Lawler provided false legal opinion letters
- Natalie Banister engaged in straw purchases
- Natalie Banister made false statements
- Securities and Exchange Commission filed Complaint
- Securities and Exchange Commission alleges William Scott Lawler and Natalie Banister
- Securities Act of 1933 requires companies to disclose
- Securities Act prohibits deceit, misrepresentations, and fraud
- Lawler participated in deceptive scheme
- Banister participated in deceptive scheme
- Lawler sold shares of BRO
- Lawler traded shares of IMMG
- Lawler traded shares of NINI
- BRO is shell company
- IMMG is shell company
- Lawler provided false legal opinion letters
- Banister engaged in straw purchases
- Banister made false statements
PDF
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