Old School Ties: Donald Trump Sues Hillary Clinton and Many of Her “Cohorts”
On March 24, 2022, as an anxious world hoped for positive results from a NATO meeting convened to address the ongoing war…
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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
Latest Blog Posts
FINRA Extended Hearing Panel Expels Alpine Securities and Orders $2.3 Million in Restitution
On March 24th, the Financial Industry Regulatory Authority (“FINRA”) announced that a FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer…
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Undercover Sting Takes Down Francis Biller, Raymond Dove, and Chester Alvarez in Boiler Room Scheme
On March 15, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against five individuals for allegedly operating a call center…
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Attorney Andrew Coldicutt faces SEC charges after getting caught in an FBI sting
On March 1, 2022, the Securities and Exchange Commission (the “SEC”) announced fraud charges against San Diego-based attorney Andrew T.E. Coldicutt for…
Read MoreSEC Obtains Final Judgment Against Former Pharmaceutical Company CEO Martin Shkreli
On February 23, 2022, the United States District Court for the Eastern District of New York entered a final judgment against Martin…
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SEC Charges Michael M Beck (aka BigMoneyMike) with Penny Stock Fraud
The Securities and Exchange Commission charged Michael M. Beck for using his Twitter handle, @BigMoneyMike6, to deceive investors into buying penny stocks…
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SEC Proposes Faster Trade Settlement Times
The Securities and Exchange Commission voted on Wednesday to propose rule changes to reduce risks in the clearance and settlement of securities,…
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SEC Wins Summary Judgment Against Unregistered Penny Stock Dealer Justin W Keener
On January 21, 2022, Judge Beth Bloom of the United States District Court for the Southern District of Florida granted the SEC’s…
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Paul Pelosi Jr’s Adventures in Pennyland
In mid-January 2022, British tabloid the Daily Mail published a long story about U.S. House Speaker Nancy Pelosi’s son Paul Jr, in…
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SEC Charges Securities Fraud Recidivist Phillip W. Offill, Jr. and Justin W. Herman in Penny Stock Fraud Scheme
On January 19, 2022, the Securities and Exchange Commission charged securities fraud recidivist Phillip W. Offill, Jr. and Justin W. Herman (a former…
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Christopher R. Esposito Charged with Securities Fraud
On January 7, 2022, Christopher R. Esposito, 55, of Everett, was charged and has agreed to plead guilty to one count of…
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SEC Commissioners Differ on Key Policies
Just before the end of 2021, Elad L. Roisman, one of the SEC’s five Commissioners, announced his resignation, effective at the end…
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Five Russians Charged in Hacking and Illegal Trading Scheme
On December 20, 2021, the Securities and Exchange Commission announced fraud charges against five Russian nationals for engaging in a multi-year scheme…
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More Individuals Charged in Billion Dollar Penny Stock Pump and Dump/Money Laundering Operation
On Thursday, December 9th, three more Canadian citizens were charged by the Securities and Exchange Commission as part of what has been…
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SEC Charges Robert Gandy and Others in 3(a)(10) Penny Stock Scheme
On November 9, 2021, the Securities and Exchange Commission charged four individuals and their companies, including a securities fraud recidivist, with scheming…
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Amended Rule 15c2-11 is Bad News for Shell Vendors
Though nearly two months have passed since compliance with the Securities and Exchange Commission’s amended Rule 15c2-11 became mandatory on September 28,…
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Court Says Toxic Note is Usurious
Over the past few years, we’ve written frequently about so-called “toxic lenders” engaged in unregistered dealer activity and the toll their loans…
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Steven Gallagher Arrested And Charged With Securities Fraud For Using His Twitter Account To Operate A Pump-And-Dump Scheme
On Tuesday, October 26th, Steven Gallagher 50, of Maumee, Ohio, was arrested and charged with securities fraud, wire fraud, and market manipulation.…
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Will Small Cap Investors Embrace Donald Trump’s DWAC? The latest Reddit Meme Stock
Since the fall of 2019, we’ve written a number of times about the Securities and Exchange Commission’s amendments to Rule 15c2-11, which,…
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Federal Jury Convicts Defendants In NuTech Energy Resources Securities Fraud
On Wednesday, October 13, 2021, a federal jury in Cheyenne returned guilty verdicts against a Pennsylvania man and two Florida men related…
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SEC Enforcement Casebook (2016–2020)
Across 2016–2020, enforcement actions centered on insider trading, offering frauds (including Ponzi‑like schemes), microcap promotion/manipulation, disclosure and internal‑controls failures, gatekeeper lapses, and…
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SEC Charges Webcast Host Mark Melnick for His Role in Market Manipulation Scheme
On September 30, 2021, the Securities and Exchange Commission (the “SEC”) announced charges against Mark Melnick, a day trader and T3 Live…
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SEC Obtains Emergency Relief Against Richard Xia Charged with EB-5 Securities Fraud
On September 28, 2021, the Securities and Exchange Commission (the “SEC”) announced that it filed an emergency action and obtained an asset…
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SEC Sues Carebourn Capital, L.P. and Its Managing Partner Chip Rice for Acting as an Unregistered Securities Dealer
On September 24, 2021, the Securities and Exchange Commission (“SEC”) charged Carebourn Capital, L.P. and its managing partner Chip Rice of Maple…
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Section 12(j) – SEC Termination of Registration, Revocation and Trading Suspensions
Proceedings under Section 12(j) of the Securities Exchange Act of 1934, (the “Exchange Act”) are frequently initiated when an SEC reporting company…
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SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”
Today, the Securities and Exchange Commission charged a Florida resident and his friend for engaging in a fraudulent scheme designed to collect…
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Forms 211: OTC Markets’ New Role – Quotation, Trading Suspensions and Listing
We’ve written several times about the Securities and Exchange Commission’s (“SEC”) amendments to Rule 15c2-11, first proposed in September 2019 and adopted…
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Amended Rule 15c-211 Is Only a Week Away – Going Public, Form S-1, Form 211
We last wrote about the Securities and Exchange Commission’s new Rule 15c2-11 in early August. The amended rule was proposed in September…
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SEC Surpasses $1 Billion in Total Whistleblower Awards
On September 15, 2021, the Securities and Exchange Commission (the “SEC”) awarded approximately $110 million to a whistleblower whose information and assistance…
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SEC Charges Attorney Frederick Bauman with Participation in IIIegal, Unregistered Securities Offerings
On September 8, 2021, the Securities and Exchange Commission (the “SEC”) charged Nevada resident Frederick Bauman with playing a critical role as…
Read MoreBlogroll & Resources
Explore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.
FINRA
https://www.finra.org/JOBS Act 101
https://www.jobsact101.com/Go Public 101
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://ppe.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://ppe.securitieslawyer101.com/securities-law-video-series/