Brenda Hamilton, Securities and Going Public Lawyer

SEC Commissioners Differ on Key Policies

January 10, 2022

Five Russians Charged in Hacking and Illegal Trading Scheme

December 27, 2021

More Individuals Charged in Billion Dollar Penny Stock Pump and Dump/Money Laundering Operation

December 12, 2021

SEC Charges Robert Gandy and Others in 3(a)(10) Penny Stock Scheme

December 6, 2021

Amended Rule 15c2-11 is Bad News for Shell Vendors

November 22, 2021

Court Says Toxic Note is Usurious

November 13, 2021

Steven Gallagher Arrested And Charged With Securities Fraud For Using His Twitter Account To Operate A Pump-And-Dump Scheme

October 30, 2021

Will Small Cap Investors Embrace Donald Trump’s DWAC? The latest Reddit Meme Stock

October 25, 2021

Federal Jury Convicts Defendants In NuTech Energy Resources Securities Fraud

October 15, 2021

SEC Enforcement Casebook (2016–2020)

October 11, 2021

SEC Charges Webcast Host Mark Melnick for His Role in Market Manipulation Scheme

October 9, 2021

SEC Obtains Emergency Relief Against Richard Xia Charged with EB-5 Securities Fraud

October 8, 2021

SEC Sues Carebourn Capital, L.P. and Its Managing Partner Chip Rice for Acting as an Unregistered Securities Dealer

October 3, 2021

Section 12(j) – SEC Termination of Registration, Revocation and Trading Suspensions

September 30, 2021

SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”

September 27, 2021

Forms 211: OTC Markets’ New Role – Quotation, Trading Suspensions and Listing

September 24, 2021

Amended Rule 15c-211 Is Only a Week Away – Going Public, Form S-1, Form 211

September 21, 2021

SEC Surpasses $1 Billion in Total Whistleblower Awards

September 18, 2021

SEC Charges Attorney Frederick Bauman with Participation in IIIegal, Unregistered Securities Offerings

September 12, 2021

SEC Files Subpoena Enforcement Action Against Alexander Kon

September 2, 2021

A Tale of Two Unregistered Dealers – Toxic Convertible Note Lenders Under SEC Scrutiny

August 31, 2021

SEC Whistleblower – Dodd Frank Revisions to be Proposed

August 19, 2021

SEC Charges Unregistered Dealers Alexander Dillon, Cosmin Panait, Larry Adams and Salvador Rosillo

August 14, 2021

Emerging Growth Company Status and the Going Public Process

August 12, 2021

SEC Obtains Default Judgment in Edgar Hacking Case

August 7, 2021

Understanding the September 28 Amended Rule 15c2-11 Deadline

August 5, 2021

SEC Pursues Unregistered Dealers, Toxic Financing, Toxic Convertible Notes

August 1, 2021

2020 has been a historic year for Securities and Exchange Commission ("SEC") enforcement action against toxic lenders as unregistered dealers.

SEC charges former Nikola CEO with securities fraud

August 1, 2021

SEC Commissioners Differ on Key Policies

Five Russians Charged in Hacking and Illegal Trading Scheme

More Individuals Charged in Billion Dollar Penny Stock Pump and Dump/Money Laundering Operation

SEC Charges Robert Gandy and Others in 3(a)(10) Penny Stock Scheme

Amended Rule 15c2-11 is Bad News for Shell Vendors

Court Says Toxic Note is Usurious

Steven Gallagher Arrested And Charged With Securities Fraud For Using His Twitter Account To Operate A Pump-And-Dump Scheme

Federal Jury Convicts Defendants In NuTech Energy Resources Securities Fraud

SEC Enforcement Casebook (2016–2020)

SEC Charges Webcast Host Mark Melnick for His Role in Market Manipulation Scheme

SEC Obtains Emergency Relief Against Richard Xia Charged with EB-5 Securities Fraud

SEC Sues Carebourn Capital, L.P. and Its Managing Partner Chip Rice for Acting as an Unregistered Securities Dealer

Section 12(j) – SEC Termination of Registration, Revocation and Trading Suspensions

SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”

Forms 211: OTC Markets’ New Role – Quotation, Trading Suspensions and Listing

Amended Rule 15c-211 Is Only a Week Away – Going Public, Form S-1, Form 211

SEC Surpasses $1 Billion in Total Whistleblower Awards

SEC Files Subpoena Enforcement Action Against Alexander Kon

A Tale of Two Unregistered Dealers – Toxic Convertible Note Lenders Under SEC Scrutiny

SEC Whistleblower – Dodd Frank Revisions to be Proposed

SEC Charges Unregistered Dealers Alexander Dillon, Cosmin Panait, Larry Adams and Salvador Rosillo

Emerging Growth Company Status and the Going Public Process

SEC Obtains Default Judgment in Edgar Hacking Case

Understanding the September 28 Amended Rule 15c2-11 Deadline

SEC Pursues Unregistered Dealers, Toxic Financing, Toxic Convertible Notes

SEC Charges Charlie Abujudeh in Microcap Fraud Scheme Targeting Retail Investors

SEC charges Marlon Muller with stock manipulation