SEC Pursues Unregistered Dealers, Toxic Financing, Toxic Convertible Notes
2020 has been a historic year for Securities and Exchange Commission ("SEC") enforcement action against toxic lenders as unregistered dealers.
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Rule 15c2-11 Compliance Deadline Is Just Around the Corner
In September of last year, the Securities and Exchange Commission (the “SEC”) adopted amendments to Securities Exchange Act Rule 15c2-11. In early 2020, we…
Read MoreWhat is the OTC Link? OTC Markets Lawyer
Companies quoted on OTC Link include the OTC Markets’ OTCQX and OTCQB. They must provide key financial information and be current in…
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SEC Charges Mark Miller for Hijacking Inactive Penny Stock Companies to use for Pump & Dump Schemes
On Friday, June 18th, the SEC filed a Complaint in the United States District Court for the District of Minnesota against Minnesota…
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Senators Leahy and Grassley Introduce EB-5 Investor Visa Integrity Reform Bill
Senator Patrick Leahy (D-Vt.), a senior member and former chairman of the Judiciary Committee, and Senator Chuck Grassley (R-Iowa), Ranking Member of…
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SEC Charges RenovaCare, Inc and its Controlling Shareholder with Securities Fraud
On May 28, 2021, the SEC charged RenovaCare Inc (RCAR) and its controlling shareholder, Harmel S. Rayat, with securities fraud for intentionally…
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SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering
On May 28, 2021, the SEC announced charges against five individuals alleging that they promoted a global unregistered digital asset securities offering…
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The SEC just suspended my stock! Now what?
It can be the worst feeling in the world. You wake up, get your trading station all ready for a new day…
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SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
On May 19, 2021, the Securities and Exchange Commission charged a New Jersey-based healthcare company and its founder, Josiah David (formerly known…
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Two Jackson Men Charged in Multi-Million Dollar Fraud Scheme Conspiracy
On May 20, 2021, Ted Brent Alexander and Jon Darrell Seawright both of Jackson, Mississippi, were indicted by a federal grand jury…
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