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

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…

Judgement Entered Against James Trolice

On June 13, 2017, the Honorable William J. Martini of the United States District Court for the District of New Jersey entered…

SEC Announces Fraud Charges Against Victory Ho

On July 12, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Victory Ho for insider trading in the securities…

Charles Banks Charged With Fraud

On July 13, 2017, the Securities and Exchange Commission (“SEC”) announced that it has obtained a judgment and industry bar against Charles Banks,…

Fei Yan Faces Insider Trader Charges

On July 12, 2017, the Securities and Exchange Commission (“SEC”) announced insider trading charges against Fei Yan, a research scientist, who allegedly searched…

SEC Obtains Final Judgement for Ryan Petersen

On July 5, 2017, the Securities and Exchange Commission (“SEC”) announced that it has obtained a final judgment against Ryan Petersen, the…

SEC Charges K-T 50 Wells With Fraud

On July 7, 2017, the Securities and Exchange Commission (“SEC”) announced charges against K-T 50 Wells, a purported oil well company, its…

Judgement Entered Against Edwards

On June 9, 2017, the Honorable Esther Salas of the U.S. District Court for the District of New Jersey entered judgments against…

SEC Announces Michael Randles Administrative Proceedings

On June 19, 2017, the Securities and Exchange Commission (“Commission”) deemed it appropriate and in the public interest that public administrative proceedings…

Final Judgement on Former InterMune Director and Friend

On June 30, 2017, the Securities and Exchange Commission (“SEC”) announced that the Honorable Jacqueline Scott Corley, U.S. Magistrate Judge for the Northern…

Cheryl Jones Charged By SEC

On July 3, 2017, the Securities and Exchange Commission (“SEC”) announced charges against Cheryl Jones, a Washington, D.C.-based real estate agent and…

Pilgrim Petroleum CORP Temporary Trading Suspension

The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the…

Renwick Haddow Charged with Fraud

On June 30, 2017, the Securities and Exchange Commission (“SEC”) filed fraud charges against Renwick Haddow, the clandestine founder of a purported Bitcoin…

SEC Charges Quadrant 4 System Corp

On June 30, 2017, the Securities and Exchange Commission (“SEC”) has charged Chicago-area information technology company Quadrant 4 System Corp. (QFOR) and…

SEC Charged Penn West with Accounting Fraud

On June 28, 2017, the Securities and Exchange Commission (“SEC”) charged Penn West Petroleum Ltd., a Canadian-based oil and gas company, and three…

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/