Shane Fleming Charged with Insider Trading
On September 29, 2017, the Securities and Exchange Commission charged Shane Fleming, a middleman tipper, and six traders with insider trading ahead…
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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 Michael Scronic with Engaging in Ponzi-like Scheme
On April 4, 2018, the Securities and Exchange Commission charged Michael Scronic with fraud stemming from lies to retail investors about the…
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SEC Charges Michael Liberty with Fraudulent Scheme to Defraud Investors and Misappropriate Funds
On April 4, 2018, the Securities and Exchange Commission charged Michael Liberty, the founder of the fintech startup now known as Mozido,…
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Court Grants Summary Judgment Motion against Iftikar Ahmed
On March 29, 2018, a federal district court in Connecticut granted the SEC’s motion for summary judgment as to the liability of…
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SEC Charges Amrit Chahal with Fraud
On April 16, 2018, the Securities and Exchange Commission charged Amrit Chahal with orchestrating an investment scheme over several years. The SEC’s…
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SEC Detects William Gennity and Rocco Roveccio Defrauding Customers
On September 28, 2017, the Securities and Exchange Commission charged William Gennity and Rocco Roveccio with making unsuitable recommendations that resulted in…
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Christopher Lollar Settles Charges of Insider Trading Ahead of Oil Discovery Announcement
On April 4, 2018, Christopher Lollar has agreed to settle SEC charges that he conducted insider trading ahead of a market-moving announcement…
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Beware of Custodianship Shells and Reverse Mergers
The Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies especially when reverse mergers are involved, and would like…
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Going Public Bootcamp – Going Public Attorneys – Securities Lawyer 101
The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to…
Read MoreSEC Obtains Final Judgment Against Vincent Cassano Charged with Fraudulent Stock Promotion Scheme
On April 10, 2018, the U.S. District Court for the Western District of Washington entered a final judgment against Vincent Cassano for…
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JH Darbie Charged in Calissio Resources Scam – Securities Lawyer 101
On March 27, 2018, the Securities and Exchange Commission (SEC) announced a settled administrative proceeding against broker-dealer J.H. Darbie &…
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William Schantz and Verto Capital Management LLC Settle Claims for Additional Investments in Scheme Involving Life Settlements
On February 27, 2018, the United States District Court for the District of New Jersey entered an amended judgment against Verto Capital…
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SEC Charges Charlie Chen and Shui Foon Mok in Multi-Year Trading Scheme
On April 5, 2018, The Securities and Exchange Commission charged Charlie Chen for making an extraordinarily profitable series of unlawful trades in…
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Mohammed Rashid Charged With Secretly Billing Clients for His Vacations and Salon Visits
On October 25, 2017, the Securities and Exchange Commission charged Mohammed Rashid, a former senior partner at Apollo Management L.P., with defrauding…
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Which Companies Are Eligible for Regulation A + Offerings?
A correctly designed Regulation A Offering Program can minimize your financial risk and significantly enhance your ability to raise money, but not…
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Regulation A+ -v- Form S-1 Registration By: Regulation A Attorneys
The SEC radically changed Regulation A for smaller companies desiring to raise money by going public. This seismic shift is called Regulation…
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SEC Charges Marc Tager and Jersey Consulting with Defrauding Investors in “Soil Remediation” Scam
The Securities and Exchange Commission announced charges against Marc Andrew Tager and Jersey Consulting LLC, a Utah-based company and several solicitors of…
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SEC Charges Beaufort Securities for Manipulative Trading in Microcap Penny Stocks
On March 2, 2018, the Securities and Exchange Commission The SEC announced securities fraud charges against Beaufort Securities, a U.K.-based broker-dealer and…
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What SEC Disclosure Is Required By Section 17(b) For Investor Relations Firms?
Section 17(b) of the Securities Act of 1933 requires anyone who advertises a stock, even if he does not purport to offer…
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Americrude Charged by SEC – Posted by Brenda Hamilton, Securities Attorney
On March 8, 2018, the Securities and Exchange Commission charged Americrude, Inc. a Dallas-based oil-and-gas company and two of its executives with…
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SEC Charges Elizabeth Holmes and Theranos Inc – Securities Lawyers
On March 14, 2018, the Securities and Exchange Commission charged Elizabeth Holmes and Silicon Valley-based private company Theranos Inc., with raising more than…
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SEC Charges Jon E. Montroll and Bitfunder with Bitcoin Fraud
On February 21, 2018, the Securities and Exchange Commission charged a former bitcoin-denominated platform known as BitFunder and its operator with operating…
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SEC Charges Niket Shah and Spark Trading for Targeting Retail Investors
On March 23rd the Securities and Exchange Commission announced charges and a preliminary injunction and asset freeze against Niket Shah, a New…
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EDGAR Filer, Robert W. Murray Sentenced to Two Years in Fitbit Stock Manipulation Scheme
On March 9, 2018, Robert W. Murray was sentenced to two years imprisonment in connection with a scheme to manipulate Fitbit securities through false…
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SEC Charges McKinley Mortgage with Scheme to Defraud – Posted by Brenda Hamilton
One March 22nd the Securities and Exchange Commission announced settled charges against McKinley Mortgage, the operators of a real estate investment business…
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Court Orders Former F-Squared CEO to Pay Over $13 Million
A federal judge has ordered the co-founder and former CEO of investment management firm F-Squared Investments to pay over $13 million after…
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SEC Charges Robert Ritch in Penny Stock Plan to Pump Stock
On March 9th the Securities and Exchange Commission barred Tobert Ritch, the president of a penny stock company from ever again serving…
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SEC Charges Brian Sodi, the Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks
The Securities and Exchange Commission has charged Brian Sodi, a penny stock promoter based in Florida with defrauding investors in a pair…
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Electronic Transaction Clearing -ETC- Charged With Repeatedly Putting Customer Assets At Risk
On March 19th the Securities and Exchange Commission announced that Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles, has agreed…
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Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
On March 13th the Securities and Exchange Commission charged foreign affiliates of KPMG, Deloitte & Touche, and BDO for their involvement in…
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/