Former Equifax Executive, Jun Ying Charged With Insider Trading
On March 14th the Securities and Exchange Commission charged Jun Ying, a former chief information officer of a U.S. business unit of…
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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 Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
On March 14, 2018, the Securities and Exchange Commission proposed amendments to public liquidity risk related disclosure requirements for certain open-end investment…
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Sponsoring Market Makers 101 – Form 211 and 15c-211 Requirements
The Role of Market Makers in Going Public Transactions Market Makers play a critical role in the going public process when compiling…
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SEC Files Action Against Ariel Quiros & Jay Peak Resort
According to an SEC complaint filed in 2016 in federal court in Miami, Ariel Quiros allegedly misused more than $50 million in investor funds…
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Will My Rule 506 Offering Be Integrated? – Going Public Attorneys
Issuers should consider the impact of offering integration when raising funds in Regulation D, Rule 506 offerings. The integration rule was created…
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SEC Suspends OTC Markets Issuers-Posted by Brenda Hamilton
On January 9, 2018, the U.S. Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of three penny…
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SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
Last month, the Securities and Exchange Commission (“SEC”) announced charges and an asset freeze involving a Boca Raton Ponzi Scheme. The SEC alleges that the…
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OTCQB Listing, Eligibility & Quotation – Going Public Lawyers
Posted by Brenda Hamilton, Securities and Going Public Lawyer OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on…
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Calissio Resources – A Special Dividend by Any Other Name
More than two years ago, we published the first in a series of articles about problems surrounding the declaration and payment of…
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Ibrahim Almagarby and Microcap Equity Group LLC Charged by SEC
The Securities and Exchange Commission charged Ibrahim Almagarby and his company with acting as unregistered dealers in the sale of billions of…
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John Venditto and Oyster Bay Charged by SEC
On November 21, 2017, the Securities and Exchange Commission (“SEC”) announced Oyster Bay, New York, and its former top elected official with…
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SEC Announces Agenda and Panelists for Small Business Forum
On November 20, 2017, the Securities and Exchange Commission (“SEC”) announced the agenda and panelists for the 36th Annual Government-Business Forum on…
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SEC Names Paul Cellupica as Deputy Director
On November 20, 2017, the Securities and Exchange Commission (“SEC”) announced that Paul G. Cellupica has been named Deputy Director of the…
Read MoreRandall James Settles Fraud Charges
On October 27, 2017, Randall James, Nashville, Tennessee resident, who isn’t registered to sell investments, has agreed to settle charges that he defrauded…
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Osiris Therapeutics Charged With Accounting Fraud
On November 2, 2017, the Securities and Exchange Commission (“SEC”) charged Osiris Therapeutics, a Maryland-based biotech company, and four former top executives…
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SEC Files Subpoena Enforcement Action against Wynn Gustafson
On October 31, 2017, the Securities and Exchange Commission (“SEC”) announced that the SEC filed an action to enforce compliance with a…
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Thomas Buck Settles Charges
On October 31, 2017, Thomas Buck, former Merrill Lynch broker, has agreed to pay more than $5 million to settle SEC charges…
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JustInfo LLC Charged for a Futures Trading Scheme
On October 11, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against JustInfo LLC, a Kentucky-based entity, a California-based tax preparer…
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John Rogicki Charged with Stealing $9 Million
On October 19, 2017, the U.S. Securities and Exchange Commission (“SEC”) charged John Rogicki, a New York-based investment adviser, with defrauding a…
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Going Public Bootcamp – Securities Lawyer 101
The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go…
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SEC Charges Attorney Marc Celello
On October 5, 2017, the Securities and Exchange Commission (“SEC”) announced that it filed fraud charges against an attorney Marc Celello based…
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Richard Cody Indicted for Investment Adviser Fraud and Lying to the SEC
On October 5, 2017, Richard Cody, a former investment adviser and broker representative, whom the Securities and Exchange Commission (“SEC”) has charged with defrauding…
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Robert Stewart Receives Final Judgement
On September 28, 2017, the Securities and Exchange Commission (“SEC”) obtained a final judgment against Robert Stewart, the former chief financial officer…
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Aegerion Pharmaceuticals Lied About Sales Metrics
On September 22, 2017, the Securities and Exchange Commission (“SEC”) filed fraud charges against Aegerion Pharmaceuticals, a Massachusetts-based bio-pharmaceutical company, that exaggerated how…
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Woodbridge Ordered to Produce Corporate Documents
On September 21, 2017, the Securities and Exchange Commission (“SEC”) obtained an order requiring the Woodbridge Group of Companies LLC, of Sherman Oaks,…
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Peter Chang Charged for Insider Trading
On September 20, 2017, the Securities and Exchange Commission (“SEC”) charged Peter Chang, the former CEO of a Silicon Valley-based fiber optics company,…
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Mayank Gupta Settles Insider Trading Charges
On September 13, 2017, the Securities and Exchange Commission (“SEC”) announced that Mayank Gupta, a former auditor, has agreed to settle charges…
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Scott Newsholme Charged with Stealing Investor Funds
On September 6, 2017, the Securities and Exchange Commission (“SEC”) charged Scott Newsholme, a New Jersey-based tax preparer and investment adviser, with stealing…
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Louis Navellier Charged for False Performance Claims
On August 31, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against investment adviser Navellier & Associates, Inc. and its…
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Leon Vaccarelli Charged With Fraud
On August 31, 2017, the Securities and Exchange Commission (“SEC”) charged Connecticut-based broker representative and investment adviser Leon Vaccarelli and his company…
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/