SEC 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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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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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…
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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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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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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/