sec whistleblower attorneys
December 19, 2018
Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., J.J. Newport Group, Inc.
Trading and Pricing
SANCTION AMOUNT: $1092567
Defendants: Bella Industries LLC, Cranberry Rock Investments, Inc., J.J. Newport Group, Inc.
Andrew F. Nicoletta
Settlement of Commission's findings that Respondent Nicoletta, via the entity Respondents, committed numerous violations of Rule 105 of Regulation M under the Exchange Act. I.e., they purchased equity securities in covered offerings despite having sold short the same securities during the Rule’s defined restricted period.
- Key Docs
- Official SEC press release
