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Business Organizations Keyed to Cox
Lorenzo v. SEC
Citation:139 S.Ct. 1094 (2019)
Francis Lorenzo, the petitioner, was the director of investment banking at Charles Vista, LLC. Lorenzo’s only investment banking client at the time was Waste2Energy Holdings, Inc. In a June 2009 public filing, Waste2Energy stated that its total assets were worth about $14 million. Lorenzo was skeptical of this valuation, later testifying that the intangibles were a dead asset because the technology didn’t really work. During 2009, Waste2Energy hired Lorenzo’s firm, Charles Vista, to sell to investors $15 million worth of debentures. In 2013, the Securities and Exchange Commission instituted proceedings against Lorenzo, charging that Lorenzo had violated Rule 10b-5.
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