Attorney Adam Tracy & the Nefarious World of Custodianship Shells
The Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies, and would like to see them gone from the…
Read MoreBlog
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
Marc Broidy Charged with Defrauding Investors in 3 Separate Schemes
On October 27, 2016 the Securities and Exchange Commission (“SEC”) charged a Los-Angeles based investment advisory firm and its owner, Marc Broidy with…
Read More
Southlake Resources Group and Owner Cody Winters Charged with Fraud
Texas company Southlake Resources Group, LLC and its president Cody Winters have agreed to pay over $5.4 million to settle charges by…
Read More
Brazilian Airplane Manufacturer Embraer S.A. Charged with FCPA Violations
The Securities and Exchange Commission (“SEC”) announced a global settlement along with the U.S. Department of Justice and Brazilian authorities that requires aircraft…
Read More
Executive of Pinnacle Financial Partners James Cope Charged with Insider Trading
On October 21, 2016 the Securities and Exchange Commission (“SEC”) charged a James Cope, a Tennessee lawyer who served on the executive committee…
Read More
Christopher Salis and Douglas and Edward Miller Charged with Insider Trading
A federal grand jury in the Northern District of Indiana has indicted Christopher Salis, Douglas Miller, and Edward Miller on charges relating…
Read More
SEC Issues Form S-3 Registration and Annual Report C&DIs
On November 2, 2016, the Securities and Exchange Commission (“SEC”) Division of Corporation Finance released two new compliance and disclosure interpretations (“C&DIs”)…
Read More
Lime Energy Co. and Four Execs Charged with Accounting Fraud
On October 17, 2016 the Securities and Exchange Commission (“SEC”) charged Lime Energy Co., an energy services provider and four of its executives…
Read More
Rule 147: Not Just for In-State Investors Anymore
On October 26, 2016, the Securities & Exchange Commission (the “SEC”) adopted amendments to Rule 147 of the Securities Act of 1933,…
Read More
Court Enters Final Judgments Against Paul Downey and Two Others
On September 29, the Honorable Sam R. Cummings of the United States District Court for the Northern District of Texas entered final…
Read More
Louis Buonocore and 4 Others Charged for Operating a Fraudulent Penny Stock Scheme
On September 29, 2016, the Securities and Exchange Commission (“SEC”) charged five individuals for engaging in a fraudulent scheme to illegally profit…
Read More
Marcus Luna and Norell Walker Charged in Penny Stock Scam
On September 30, 2016 the Securities and Exchange Commission (“SEC”) charged an attorney and three others in California with defrauding investors out…
Read More
Cannabis Company Infinex Ventures and CEO Ronald Salem Charged with Fraud
On September 30, 2016, the Securities and Exchange Commission (“SEC”) filed fraud charges against cannabis company Infinex Ventures, Inc. and its CEO Ronald Salem.…
Read More
SEC Expands Rule 504 of Regulation D & Rule 147
On October 26, 2016, the Securities and Exchange Commission (the “SEC”) adopted final rules that amend Rule 504 of Regulation D and…
Read More
Former CEO of Gerova Financial Gary Hirst Charged with Securities Fraud
On September 28, 2016, a federal court jury in New York, New York convicted Gary Hirst, the former CEO and…
Read More
Aegis Oil and President Patrick Beason Charged with Oil and Gas Fraud
On September 29, 2016, the Securities and Exchange Commission (“SEC”) charged Aegis Oil, LLC and its President and CEO Patrick Reagan Beason with…
Read More
Robert Gadimian Charged with Insider Trading
The Securities and Exchange Commission (“SEC”) today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead…
Read More
SEC Charges Former Stockbroker Peter Kohli with Fraud and Orders an Asset Freeze
On September 28, 2016 the Securities and Exchange Commission (“SEC”) announced charges and an emergency asset freeze against former stockbroker Peter Kohli for defrauding…
Read More
SEC Charges CEO Craig Sizer of Microcap Company with Fraud
On September 26, 2016 the Securities and Exchange Commission (“SEC”) charged a former microcap company CEO and a boiler room operator with…
Read More
Former IT Executive Charged in Computer Sciences Corporation Fraud Scheme
The Securities and Exchange Commission (“SEC”) announced on September 27, 2016 that a former IT executive at the Commonwealth Bank of Australia (CBA)…
Read MoreJason Wallace Charged for Pump and Dump Scheme
The Securities and Exchange Commission (“SEC”) filed a civil injunctive action in the U.S. District Court for the Central District of California against…
Read More
Alternative Fuel Company KiOR, Inc. Charged with Failure of Full Disclosure
On September 26, 2016, the Securities and Exchange Commission charged Texas-based Mard, Inc., formerly known as KiOR, Inc., and its former CEO…
Read More
Court Enters Final Judgment Against Daniel Thibeault for $15 Million Fraud
On September 26, 2016, the Honorable Nathaniel M. Gorton of the United States District Court for the District of Massachusetts entered a…
Read More
The Regulation A+ Offering Process – Going Public Attorneys
On June 19, 2015, Regulation A+ became effective. The new rules which were promulgated under the Jumpstart Our Business Startups Act (JOBS Act), create two…
Read MoreOwners of North Star Finance LLC Charged with Fraud
On September 21, 2016, North Star Finance LLC, G. Thomas Ellis, and Yasuo Oda entered consents to settle the SEC’s charges against…
Read More
Sheren Tsai and Colin Whelehan Charged with Insider Trading in Home Security Company
The Securities and Exchange Commission (“SEC”) announced charges on September 22, 2016 against Sheren Tsai and Colin Whelehan for insider trading in advance of the…
Read More
Court Enters Final Judgment Against Lee Vacaro in Fraud Case
On September 16, 2016, the Honorable William J. Martini of the United States District Court for the District of New Jersey entered…
Read More
Court Enters Final Judgment Against Saleem Khan and Roshanlal Chaganlal for Insider Trading Scheme
The Securities and Exchange Commission (“SEC”) announced on September 21, 2016 that the Honorable Haywood S. Gilliam of the U.S. District Court for the Northern…
Read MoreCourt Enters Final Judgment in Wings Network Pyramid Scheme Case
A federal court in Boston, Massachusetts, recently entered final judgments by consent against six defendants in an ongoing enforcement action filed by…
Read More
Steven Metro Sentenced to 46 Months in Prison for Insider Trading Scheme
On September 14, 2016 Steven Metro, a former Simpson Thacher & Bartlett employee, was sentenced to 46 months in federal prison. Metro…
Read MoreBlogroll & Resources
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/