SEC Whistleblower – Dodd Frank Revisions to be Proposed
On August 2, 2021, Gary Gensler, the new chair of the Securities and Exchange Commission (SEC), announced that because he wasn’t entirely…
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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.
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SEC Charges Unregistered Dealers Alexander Dillon, Cosmin Panait, Larry Adams and Salvador Rosillo
On Friday, August 13th, the Securities and Exchange Commission (the “SEC”) filed charges against GPL Ventures LLC, GPL Management LLC, Alexander J.…
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Emerging Growth Company Status and the Going Public Process
Going public offers many benefits to companies seeking to grow their business, including: Enhanced ability to raise capital, Liquidity for founders and…
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SEC Obtains Default Judgment in Edgar Hacking Case
On July 29, 2021, the United States District Court for the District of New Jersey entered a default judgment against Oleksandr Ieremenko…
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Understanding the September 28 Amended Rule 15c2-11 Deadline
As the summer of 2021 enters its final months, investors in the U.S. over-the-counter market and OTC issuers themselves await the rollout…
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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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SEC charges former Nikola CEO with securities fraud
On July 29th, the Securities and Exchange Commission (the “SEC”) announced charges against Trevor R. Milton, the founder, former CEO and former…
Read MoreSEC Charges Charlie Abujudeh in Microcap Fraud Scheme Targeting Retail Investors
On July 22, 2021, the Securities and Exchange Commission (the “SEC”) filed an emergency action charging California resident Charlie Abujudeh with running…
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SEC charges Marlon Muller with stock manipulation
On July 15th, the Securities and Exchange Commission (the “SEC”) announced charges against Marlon Muller for engaging in a pattern of…
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TD Ameritrade puts out list of liquidation only stocks ahead of September 28, 2021 Rule 15c-211 amendments
On September 28, 2021, new amendments to Rule 15c-211 under the Securities Exchange Act of 1934 go into effect to enhance investor…
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SEC charges former CEO and CFO of FTE Networks, Inc with accounting fraud
Today, July 15, 2021, the Securities and Exchange Commission (the “SEC”) charged the former CEO and CFO of FTE Networks, Inc. (“FTE”),…
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SEC Suspends Trading in 55 Abandoned Issuers in Sweeping Order
Today, the Securities and Exchange Commission (the “SEC”) suspended trading in 55 publicly traded penny stock companies because of public interest concerns.…
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SEC Charges Three Individuals with Insider Trading
On July 9th, the Securities and Exchange Commission (the “SEC”) charged three individuals with insider trading in advance of an announcement by…
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SEC sanctions Elaine A. Dowling and Harold P. Gewerter and charges Shawn Hackman in scheme to skirt a previous ban
On July 1st, the Securities and Exchange Commission (the “SEC”) filed charges against banned attorney Shawn F Hackman for violating a September…
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SEC Charges Goldman Small Cap Research and its Owner for Failing to Disclose Compensation
On June 30, the Securities and Exchange Commission (the “SEC”) announced settled charges against Reuben Robert Goldman and his online stock promotion…
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OTC Markets Requests 15c-211 Disclosures by June 30
OTC Markets Pink companies will need to update their disclosure to ensure they comply with the new requirements. Alternative Reporting…
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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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Going Public: Myths and Misinformation about Reverse Mergers
Myths and misinformation: The truth behind reverse mergers. What is really the best way to go public? Direct Public Offering vs Reverse…
Read MoreDavid C. Coggins Sentenced for $1.3 Million Securities Fraud Scheme
On Friday, May 14, 2021, David C Coggins, 42, of Miami, was sentenced to 51 months in prison, followed by 36 months…
Read MoreThere has never been a better time to be a Whistleblower
Since the start of the whistleblower program, the SEC has received more than 26,000 whistleblower submissions. Those tips have led to more…
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SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
The Securities and Exchange Commission announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life…
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Mark Lisser Pleads Guilty to Securities Fraud Conspiracy
Earlier today, in federal court in Central Islip, Mark Lisser pleaded guilty to securities fraud conspiracy for lying to customers about investments…
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/Go Public 101
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://www.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://www.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://www.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://www.securitieslawyer101.com/securities-law-video-series/