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John Fahy negotiates favorable settlement with Securities and Exchange Commission on behalf of client

John Fahy negotiates favorable settlement with Securities and Exchange Commission on behalf of client

The Securities and Exchange Commission (“SEC”) sued Jason Landess in federal court in the Southern District of Texas for alleged securities registration violations – seeking an injunction, civil penalties and disgorgement of $286,711. Under the federal securities laws, an entered injunction would cause a five year bad actor disqualification from being involved in securities offerings made pursuant to securities registration exemptions under SEC Regulation A or Regulation D.

 

Whitaker Chalk attorney John Fahy represented Mr. Landess in that matter and obtained a favorable settlement with the SEC.  On January 25, 2018, the SEC issued a litigation release announcing that Mr. Landess agreed to pay only a $25,000 civil penalty.  The Court dismissed the SEC’s claims for disgorgement and injunctions.  Mr. Landess will not be subject to any bad actor disqualifications under the federal or state securities laws as a result of this settlement.

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