SEC Bars David T. Laurance Perpetrator of Initial Coin Offering Fraud
The Securities and Exchange Commission obtained permanent officer-and-director and penny stock bars against the founder of a company who perpetrated a fraudulent…
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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 Oil Company CEO John Schiller With Hiding His Personal Loans
On July 16, 2018 The Securities and Exchange Commission charged the former CEO of Energy XXI Ltd. John Schiller with hiding more…
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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission announced on Aug. 6, 2018 that it has updated its list of unregistered firms that use misleading information…
Read MoreDeutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs
The Securities and Exchange Commission announced on July 20, 2018 that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle…
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SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors
The Securities and Exchange Commission today charged five individuals and four companies for unlawfully selling securities of Woodbridge Group of Companies LLC…
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SEC Charges Mizuho Securities for Failure to Safeguard Customer Information
On July 23, 2018 The Securities and Exchange Commission charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to…
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Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls
The Securities and Exchange Commission announced that Citigroup has agreed to pay $10.5 million in penalties to settle two enforcement actions involving…
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The Distinction Between Equity Crowdfunding and Rule 506(c) When Raising Capital
The JOBS Act’s new rules permitting general solicitation and advertising in Rule 506 private placements became effective on September 23, and there…
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What is a Private Placement Memorandum – PPM? Going Public Lawyers
A private placement memorandum sometimes called a PPM is used by private companies in going public transactions and by existing public companies…
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SEC Adopts Amendments to Simplify and Update Disclosure Requirements
The Securities and Exchange Commission announced that it has voted to adopt amendments to certain disclosure requirements that have become duplicative, overlapping, or…
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SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
The Securities and Exchange Commission announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to…
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Rule 506 Roadmap l Ask Securities Lawyer 101
Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost…
Read MoreSEC Adopts Rule Amendments to Improve Municipal Securities Disclosure
The Securities and Exchange Commission adopted amendments to enhance transparency in the municipal securities market. The adopted amendments to Rule 15c2-12 of…
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Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision
The Securities and Exchange Commission announced that Merrill Lynch, Pierce, Fenner & Smith has agreed to pay approximately $8.9 million to settle charges…
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SEC Charges Technology Fund Adviser Michael B. Rothenberg, Founder in Fraudulent Scheme
The Securities and Exchange Commission charged the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors…
Read MoreHow to Spot a Penny Stock Scam
Have you ever played a penny stock? Or invested in one you believed or hoped was real, perhaps even the Next Big…
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SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience
Securities and Exchange Commission Chairman Jay Clayton announced that an additional investor roundtable to discuss the Commission’s recently proposed rules regarding the…
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SEC Charges Endurance International Group Holdings Inc. Executives With Inflating Operating Metrics
The Securities and Exchange Commission announced settled charges with two former top officers of Endurance International Group Holdings Inc. for overstating the…
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Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service
The Securities and Exchange Commission announced that Barry D. Miller, Associate Director of Disclosure Review and Accounting in the Division of Investment…
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SEC Files Charges Gannon Giguiere in Busted Microcap Schemes
On July 13, 2018 The Securities and Exchange Commission charged a stock promoter and four others involved in an alleged series of…
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Former CEO Kevin Modany and CFO Daniel Fitzpatrick of ITT Barred and Ordered to Pay Penalties
The Securities and Exchange Commission announced on July 6, 2018 settlements with two former senior executives of ITT Educational Services Inc., which the SEC…
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SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray
On July 11, 2018 The Securities and Exchange Commission filed fraud charges against a second defendant in connection with a scheme to…
Read MoreSEC Charges Credit Suisse With FCPA Violations
The Securities and Exchange Commission announced on July 5, 2018 that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges…
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SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies
On July 2, 2018 The Securities and Exchange Commission charged global engineering and construction company KBR Inc. with inflating a key, non-financial statement performance metric…
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SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records
The Securities and Exchange Commission announced on July 17, 2018 that New York-based broker-dealer BGC Financial has agreed to pay a $1.25 million penalty…
Read MoreSEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes
The Securities and Exchange Commission charged two firms and 18 individuals in a scheme to improperly divert new issue municipal bonds to…
Read MoreSEC Charges Cloud Communications Company and Senior Executives Mark Greenquist And Michael Swade With Misleading Revenue Projections
The Securities and Exchange Commission charged a cloud communications company and two executives with providing misleading quarterly revenue estimates. The company and…
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Foreign Private Issuers NYSE Audit Committee Requirements
The New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE…
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Section 4(a)(2) and Rule 506(b) Exempt Offerings – Securities Lawyer 101
Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) exempts Rule 506(b)securities offerings from the SEC’s registration requirements…
Read MoreForeign Private Issuer NYSE Audit Committee Requirements
The New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE…
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.
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