PRO

Alan Abergel's Legal Cases (2)

Call for a consultation Call (817) 458-4040 Message View Profile

Securities offerings

DBO securities enforcement case

Aug 02, 2018

OUTCOME: Issuance of a D&R

DBO securities enforcement case, investigating: offer and sale of securities without registration or exemption, fraud and misrepresentation in connection with sale and offer of securities, acting as an ... investment adviser and broker-dealer without a license.

Debt and lending agreements

DBO lending enforcement case

Feb 03, 2016

OUTCOME: Consent Order

DBO lending enforcement case, investigating violations of California financing law in connection with secured consumer lending.