Securities Law and Going Public Blog

Blog

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

Celator Pharmaceuticals Employees Charged With Insider Trading

On August 31, 2017, the Securities and Exchange Commission (“SEC”) charged an accountant and three others with insider trading on market-moving news about…

Lek Securities Motion to Dismiss Denied

On August 25, 2017, the Honorable Denise L. Cote of the U.S. District Court for the Southern District of New York denied…

Deerfield Management Company Agrees to Settle Charges

On Aug. 21, 2017, the Securities and Exchange Commission (“SEC”) announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed…

Jeremy Drake Charged With Fraud

On Aug. 22, 2017, the Securities and Exchange Commission (“SEC”) charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional…

Beaumont Financing Authority Settles Charges

On Aug. 23, 2017, the Securities and Exchange Commission (“SEC”) announced that Beaumont Financing Authority, a municipal financing authority in Beaumont, California, and…

Adesh Tyagi Receives Final Judgement

On August 21, 2017, the Securities and Exchange Commission (“SEC”) has obtained a final judgment against Adesh Tyagi, the former CEO of…

Vergeous LLC, et al. Charged with Offering Fraud

On August 16, 2017, the Securities and Exchange Commission (“SEC”) announced that Vergeous LLC and Dream Team Partners LLC, two Florida-based video game development…

Banca IMI Securities to Pay $35 Million

On Aug. 18, 2017, the Securities and Exchange Commission (“SEC”) announced that broker Banca IMI Securities Corp, an indirect, wholly-owned U.S. subsidiary of…

Daniel Rivas Center of Insider Trading Scheme

On August 16, 2017, the Securities and Exchange Commission (“SEC”) announced insider trading charges against seven individuals, Daniel Rivas being one, who generated…

KPMG Charged with Audit Failures

On Aug. 15, 2017, the Securities and Exchange Commission (“SEC”) announced that KPMG has agreed to pay more than $6.2 million to settle…

DiMaria and Gamsey Receive Final Judgements

On August 16, 2017, the Securities and Exchange Commission (“SEC”) announced that it has obtained final judgments against DiMaria and Gamsey, two…

Final Judgement Obtained Against Louis Martin Blazer III

On August 10, 2017, the Securities and Exchange Commission (“SEC”) announced that it has obtained a final judgment against Louis Martin Blazer…

Thrift Savings Plan Used In Fraud Case

On July 31, 2017, the Securities and Exchange Commission (“SEC”) charged four former Atlanta-area brokers with fraudulently inducing federal employees to roll over…

Charges Announced Against John Thomas Financial

On August 2, 2017, the Securities and Exchange Commission (“SEC”) announced fraud and other charges against two individuals and John Thomas Financial,…

Final Judgement Obtained Against Andrew Farmer

On July 24, 2017, the U.S. Securities and Exchange Commission (“SEC”) announced that it has obtained a final judgment against Andrew Farmer, whom…

Final Judgement Against Stephen Ferrone

On July 31, 2017, the Securities and Exchange Commission (“SEC”) announced that on July 28, 2017, an Illinois federal court entered a…

SEC Charges Halliburton Company

On July 27, 2017, the Securities and Exchange Commission (“SEC”) charged Halliburton Company with violating the books and records and internal accounting controls…

Medicus Homecare Trading Suspension

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Medicus Homecare Inc. (MDCR) commencing at…

CNK Global Trading Suspension

On July 28, 2017, the U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of CNK Global,…

Joey Dodson Charged with Fraud

On July 26, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Joey Dodson, the founder of a collection of businesses…

Whistleblower Receives $2.5 Million Reward

On July 25, 2017, the Securities and Exchange Commission (“SEC”) announced an award of nearly $2.5 million to an employee of a…

Alanah, Ascenergy and Gabaldon Final Judgement

On June 12, 2017, the Securities and Exchange Commission (“SEC”) announced that it has obtained a final judgment against Ascenergy LLC, Joseph…

SEC Files Second Subpoena Against Andrew Coldicutt

On July 21, 2017, the Securities and Exchange Commission (“SEC”) announced that it has filed a subpoena enforcement action against Andrew Coldicutt…

Michael Trahan Charged for Insider Trading

On June 7, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Michael Trahan for insider trading in the securities of…

Flowers and Nevett Charged with Fraud

On July 19, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Flowers and Nevett, two California men, and a company…

SEC Bars David Lubin

On July 19, 2017, the Securities and Exchange Commission (“SEC”) barred David Lubin, a New York-based attorney, from appearing or practicing before it…

Default Judgement on Yu-Cheng Lin Insider Trading Charges

On June 19, 2017, the Securities and Exchange Commission (“SEC”) has obtained a default judgment against foreign defendant, Yu-Cheng Lin, charged with…

Steven Labriola Receives Final Judgement

On July 14, 2017, the Securities and Exchange Commission (“SEC”) announced that it has obtained a final judgment in a fraud case against Steven Labriola,…

Final Judgements Entered Against LocatePlus Holdings Officers

On June 27, 2017, the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts entered final judgments…

SEC Announces Fraud Charges Against Diana Lovera

On July 14, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Diana Lovera, the former Chief Operating Officer of…

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/