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…
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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
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…
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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…
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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.…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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Stock-Trading Whiz Kid and Company Wealthpire Inc. Charged with Fraud
On September 13, 2016 he Securities and Exchange Commission (“SEC”) announced that self-proclaimed “stock trading whiz kid” Manuel Jesus and his stock newsletter company…
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SEC Charges Movie Exec Manu Kumaran
On September 23, 2016, the Securities and Exchange Commission (“SEC”) charged Manu Kumaran in connection with Medient Studios and later Moon River Studios. According to…
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Court Enters Injunction Against Safety Technologies LLC and Its Owner
On September 12, 2016, the Honorable Alvin W. Thompson, a federal judge in the U.S. District Court for the District of Connecticut,…
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SEC Charges Tycoon Energy Inc and Its President with Running a $5.6 Million Fraud
The Securities and Exchange Commission (“SEC”) charged Tycoon Energy, Inc. and its president, Matthew Dee Nerbonne, with orchestrating an oil and gas…
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Pro Basketball Player Defrauded by Investment Advisor Charles Banks
The Securities and Exchange Commission (“SEC”) announced on September 12, 2016 that it has charged Atlanta-based investment adviser Charles Augustus Banks, IV with…
Read MoreMark Bloom and Firm North Hills Management LLC Charged with Fraud
On September 6, 2016, the Securities and Exchange Commission (“SEC”) obtained a final judgment against Mark Evan Bloom and his advisory firm,…
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RPM International Charged with Disclosure and Accounting Failures
On September 9, 2016 the Securities and Exchange Commission (“SEC”) charged Ohio-based chemical company RPM International Inc. and its General Counsel, Edward…
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Four Fraudsters Charged in Arco Hills Silica Mining Company Scheme
The Securities and Exchange Commission (“SEC”) charged Gordon Jenkins, Theodore Sweeten, Francis Kreais and Craig Parkinson with orchestrating an offering fraud involving the…
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Guy Gentile Says FBI Double-Crossed Him
Stockbroker Guy Gentile was flying high as 2012 began. In January, he gave an interview to the Nassau Guardian in which he…
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/