Securities Law and Going Public Blog

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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

Owner of Options Trading Website, Mark Suleymanoy Charged for Defrauding Retail Investors

On December 3,2018 the SEC charged Mark Suleymanov of Glen Cove, New York with engaging in an online binary options scheme that…

David Dreslin and Michael Toups charged with Orchestrating a Fraudulent Public Shell Company Scheme

The SEC announced on December 3,2018 fraud charges against a Florida-based CPA, a former broker, and his spouse, for their roles in…

A Kentucky Man, Jared Forrester charged for Role in Nationwide Oil Investment Scheme

The Securities and Exchange Commission charged a 35-year-old Jared Forrester for his role in a scheme that resulted in the fraudulent offering…

SEC Charges Eric “EJ” Dalius, Network Marketer with Masterminding a Multimillion Dollar Ponzi and Pyramid Scheme

The SEC has charged Eric “EJ” Dalius and seven corporate entities that he controlled with defrauding investors through the promotion and operation…

SEC Charges Self-Described Promoter Eric Landis with Microcap Market Manipulation Scheme

On November 29, 2018, the SEC charged Eric Landis, a self-described penny stock promoter and an entity he controlled with orchestrating a…

SEC Accepts Settlement Offer Against Ricardo Goldman

On November 29, 2018, the SEC determined to accept the Offer of Settlement which was submitted by Ricardo Goldman. A resident of…

SEC Obtains Final Judgement Against Steven Newman

On November 9, 2018, the Honorable Nicholas G. Garaufis of the United States District Court for the Eastern District of New York…

SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accountotc mar

The SEC charged Morrie Tobin and three other individuals for their roles in a scheme to profit from the manipulation and illegal…

Court Enters Final Judgment in Case Against Immigration Lawyer, Steve Qi and His Law Firm

On November 5, 2018, a U.S. District Court for the Central District of California entered a final judgment on consent against immigration…

Hurricane Restoration Company and Executives Settle SEC Accounting Fraud Charges

The former CEO and CFO of a now-defunct Dallas and New Orleans-based disaster remediation and construction business, Home Solutions of America, Inc…

SEC Announces Resolution of Civil and Criminal Actions Against Former CFO of Information Technology Company Alternative Reporting, Alternative Reporting Requirements, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCAX, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTC Pink Market, OTCQB, OTCQB lawyer, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act

The Securities and Exchange Commission announced on November 15, 2018, the resolution of three actions against the CFO of a Chicago-area information…

SEC Announces Settlement in Fraud Case Against OTC Markets IIssuer and Cornelius Peterson

On January 31, 2018, the Commission filed a complaint in the United States District Court for the District of Massachusetts charging Cornelius…

SEC Settles Claims Against James V. Mazzo Former Chairman/CEO of Advanced Medical Optics, Inc.

The SEC announced on November 14, 2018, that it has agreed to resolve its insider trading claims against James Mazzo, the former…

SEC Charges in OTC Markets Scam – Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research

On November 15, 2018, the Securities and Exchange Commission (“SEC”) brought charges against a Long Island, New York-based boiler room previously sued for defrauding…

The SEC Registration Statement Process- Going Public Lawyers

Securities Lawyer 101 Blog SEC Review & Comment Process The Securities and Exchange Commission (the “SEC”) oversees the securities laws and is…

OTC Markets Public Companies Charged With Failing to Comply With Form 10-Q Requirements

The Securities and Exchange Commission announced charges against five public companies for failing to provide financial statements that were reviewed by their…

SEC Awards Almost $4 Million to OTC Markets Whistleblower

The Securities and Exchange Commission announced that it has awarded nearly $4 million to an overseas whistleblower whose tip led it to…

Press Release SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program

The Securities and Exchange Commission announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have agreed to settle…

Business Services Company Barrett Business Services Inc. and Former CFO James D. Miller Charged With Accounting Fraud

The Securities and Exchange Commission charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting…

SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product By Cadaret, Grant & Co. Inc.

The Securities and Exchange Commission announced it has obtained monetary relief that will fully reimburse retail investors for losses on a leveraged…

Business Services Company Barrett Business Services Inc. and Former CFO James D. Miller Charged With Accounting Fraud

The Securities and Exchange Commission charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting…

SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze From Kevin B. Merrill, Jay B. Ledford, And Cameron Jezierski

The Securities and Exchange Commission announced it has obtained a court order halting an ongoing Ponzi-like scheme that raised more than $345 million…

Biopharmaceutical Company Clovis Oncology Inc. & Executive Patrick Mahaffy Charged With Misleading Investors About Cancer Drug

The Securities and Exchange Commission announced that a Boulder, Colorado-based biopharmaceutical company, its CEO, and its former CFO will pay more than…

SeaWorld and Former CEO James Atchison to Pay More Than $5 Million to Settle Fraud Charges

The Securities and Exchange Commission today announced that SeaWorld Entertainment Inc. and its former CEO have agreed to pay more than $5…

SEC Charges Citigroup for Dark Pool Misrepresentations

The Securities and Exchange Commission entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by…

Broker-Dealer Cowen Execution Services LLC to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data

The Securities and Exchange Commission announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million…

SEC Charges Hedge Fund Adviser Gregory Lemelson With Short-and-Distort Scheme

The Securities and Exchange Commission charged a hedge fund adviser and his investment advisory firm with illegally profiting from a scheme to…

United Technologies Charged With Violating FCPA

The Securities and Exchange Commission announced that Connecticut-based United Technologies Corporation will pay $13.9 million to resolve charges that it violated the…

SEC Charges Investment Adviser Tamara Steele With Defrauding Retail Advisory Clients

The Securities and Exchange Commission charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13 million of high-risk…

SEC Uses Data Analysis to Detect Cherry-Picking By Broker Michael A. Bressman Alternative Reporting, Alternative Reporting Requirements, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCAX, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTC Pink Market, OTCQB, OTCQB lawyer, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act

The Securities and Exchange Commission charged a New Jersey-based broker with misusing his access to customers’ brokerage accounts to enrich himself and…

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/

Nasdaq

https://www.nasdaq.com/newsroom

NYSE

https://www.nyse.com/markets/resources

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://www.securitieslawyer101.com/blog/