Securities Law and Going Public Blog

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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.

Latest Blog Posts

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…

Ibex Trading Temporarily Suspended

On June 26, 2017, the Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…

Former Ariad Employees Charged with Insider Trading

One June 27, 2017, the Securities and Exchange Commission (“SEC”) announced insider trading charges against two former senior employees and the spouse of…

SEC Announces Additional Charges Against Anthony Portelli

On June 22, 2017, the Securities and Exchange Commission (“SEC”) announced additional charges in an enforcement investigation involving Anthony Portelli, a Wall Street…

Pazoo, Inc. Used in Artificial Inflation Scheme

On June 21, 2017, the Securities and Exchange Commission (“SEC”) charged a New Jersey-based group of stock promoters with fraud involving the manipulation…

Seyed Taher Kameli Charged for Defrauding Investors

On June 22, 2017, the Securities and Exchange Commission (“SEC”) charged Seyed Taher Kameli, a Chicago-based immigration attorney, with defrauding investors participating in…

SEC Charges Arista’s CEO and Attorney

On June 20, 2017, the Securities and Exchange Commission (“SEC”) announced charges involving a scheme to disguise the nature of Arista, a…

Mark Northrop Barred by the SEC

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

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/

Nasdaq

https://www.nasdaq.com/newsroom

NYSE

https://www.nyse.com/markets/resources

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://www.securitieslawyer101.com/blog/