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

SEC Takes Action Against Ann Hiskey

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

SEC Charges CannaVEST Corp. with Fraud

On June 16, 2017, the Securities and Exchange Commission (“SEC”) filed fraud charges against CannaVEST Corp., a Las Vegas-based hemp oil company,…

Antonio Katz Pleads Guilty to Criminal Charges

On June 1, 2017, Antonio Katz, a defendant in ongoing SEC litigation, pled guilty to criminal charges filed by the U.S. Attorney…

SEC Adopts JOBS Act Amendments

On April 5, 2017, the Securities and Exchange Commission (“SEC”) announced that it has adopted JOBS Act amendments to increase the amount…

Can-Cal & SkyStar Temporarily Suspended

The U.S. Securities and Exchange Commission (“Commission”) announced the temporary suspension of trading in the securities of the following issuers, commencing at…

David Fuselier Charged for Fraudulent Scheme

On June 6, 2017, the Securities and Exchange Commission (“SEC”) charged David Fuselier, a chief executive officer, with perpetrating a fraudulent scheme…

Marc Broidy & Broidy Wealth Advisors Receive Final Judgement

On May 30, 2017, the Honorable Eric N. Vitaliano of the United States District Court for the Eastern District of New York…

Final Judgement Against GAW Miners and ZenMiner

On June 2, 2017, the U.S. District Court for the District of Connecticut entered a final default judgment against two Connecticut-based companies,…

SEC Charges iPayment Executives with Fraud

On March 10, 2017, the Securities and Exchange Commission (“SEC”) charged two former iPayment executives, a credit card processing company, with masterminding a…

Nima Hedayati Charged With Insider Trading

On March 14, 2017, the Securities and Exchange Commission (“SEC”) announced that Nima Hedayati, an auditor based in the Silicon Valley, has agreed…

Alpine Securities Fails to Comply to Anti-Money Laundering Law

On June 5, 2017, the Securities and Exchange Commission (“SEC”) charged Alpine Securities Corporation, a Salt Lake City-based brokerage firm, with securities law…

Larry Holley Charged with Fraud

On March 30, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges and an emergency asset freeze obtained against Larry Holley, a…

LottoNet Accused of Conducting Boiler Room Scheme

On March 27, 2017, the Securities and Exchange Commission (“SEC”) announced charges against LottoNet Operating Corp., a Florida-based company, its CEO, and its…

Lawson Financial Corporation Settles Fraud Charges

On April 5, 2017, the Securities and Exchange Commission (“SEC”) announced that Lawson Financial Corporation, an Arizona-based brokerage firm, its CEO, and its…

John Bocchino Barred by FINRA

On June 1, 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that it has barred former Morgan Stanley Smith Barney registered representative…

Medbox Charged by the SEC

On March 9, 2017, the Securities and Exchange Commission (“SEC”) charged Medbox, a California-based company, and its founder with falsely touting “record” revenue…

Verto Capital Settles Charges for Ponzi-like Scheme

On May 4, 2017, the Securities and Exchange Commission (“SEC”) announced that Verto Capital Management, a New Jersey-based firm, and its CEO have…

Desarrolladora Homex Settle Fraud Charges

On March 3, 2017, the Securities and Exchange Commission (“SEC”) announced that Mexico-based homebuilding company Desarrolladora Homex S.A.B. de C.V. has agreed to…

MagnaChip & CFO Settle Accounting Fraud Charges

On May 1, 2017, the Securities and Exchange Commission (“SEC”) announced that MagnaChip, a South Korea-based semiconductor manufacturer, and its former CFO have…

Centers for Medicare and Medicaid Services Employees Charged with Insider Trading

On May 24, 2017, the Securities and Exchange Commission (“SEC”) announced charges in an alleged insider trading scheme involving tips of nonpublic information…

SEC Files Fraud Charges Against Robert Murray

On May 19, 2017, the Securities and Exchange Commission (“SEC”) filed fraud charges against Robert Murray, a Virginia-based mechanical engineer accused of scheming…

SEC Charges David Humphrey with Securities Fraud

On May 9, 2017, the Securities and Exchange Commission (“SEC”) charged David Humphrey, a former employee, with securities fraud in connection with…

Barclays Capital Required to Refund Advisory Fees by SEC

On May 10, 2017, the Securities and Exchange Commission (“SEC”) announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual…

Miles Nadal Settles $5.5 Million for SEC Case

On May 11, 2017, the Securities and Exchange Commission (“SEC”) announced that Miles Nadal, the former CEO of a marketing company, has agreed…

SEC Charges Nomura Securities International Inc. Head Traders

On May 15, 2017, the Securities and Exchange Commission (“SEC”) charged a pair of former head traders who ran the commercial mortgage-backed…

Walter Little and Neighbor Charged by SEC for Insider Trading

On May 11, 2017, the Securities and Exchange Commission (“SEC”) charged Walter Little, a former partner at an international law firm, and…

Axesstel Fails to Comply with Exchange Act

On April 24, 2017, the Securities and Exchange Commission (“SEC”) deemed it necessary and appropriate for the protection of investors that public…

Jared Galanis Pleads Guilty, SEC Suspends Him

On April 24, 2017, the Securities and Exchange Commission (“SEC”) deemed it appropriate to issue an order of forthwith suspension of Jared…

SEC Suspends Mark McKinnies

On April 21, 2017, the Securities and Exchange Commission (“SEC”) deemed it appropriate and in the public interest that public administrative proceedings…

SEC Charges Matthew Krimm with Defrauding Investors

On April 25, 2017, the Securities and Exchange Commission (“SEC”) charged Matthew Krimm, a former mortgage loan officer, with defrauding investors, including…

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/