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

Posted by Brenda Hamilton – Sandy Winick Sentenced

Posted by Brenda Hamilton. On August 17, 2016, Penny Stock Fraudster, Sandy Winick, a Canadian, was sentenced To 78 Months In prison…

Leonid Momotok Pleads Guilty to Conspiracy to Commit Wire Fraud

On August 2, 2016, Leonid Momotok of Suwanee, Georgia pled guilty before United States Magistrate Judge Ramon E. Reyes, Jr. in United…

Court Enters Final Judgment Against Kenneth Rampino for Insider Trading

The Securities and Exchange Commission (SEC) announced that the federal district court in Rhode Island has entered a final judgment against Kenneth…

Court Finds Jeffry and Paul Downey and John Leonard Guilty of Oil and Gas Fraud

On July 25, the Honorable Sam R. Cummings of the United States District Court for the Northern District of Texas granted summary…

Three Fraudsters on a Shopping Spree Met with an Asset Freeze

On July 28, 2016 the Securities and Exchange Commission (“SEC”) announced an asset freeze it has obtained against three men who aren’t registered to…

SEC Charges the Luca Entities with Eb-5 Investment Fraud

On July 26, 2016, the Honorable Charles R. Breyer of the United States District Court for the Northern District of California entered…

Rosalind Herman Sentenced to 7 Years, Ordered to Pay Nearly $2 Million in Restitution

On July 27, 2016, Rosalind Herman, a relief defendant in an ongoing SEC fraud action, was sentenced to seven years in federal…

Charles Scoville & Traffic Monsoon Charged In Ponzi Scheme

On July 26, 2016 the Securities and Exchange Commission (“SEC”) announced that it obtained an asset freeze against the operator of an international Ponzi…

JNL Oilfield Instruments and Founder Jeffery McCollum Charged with Operating a Ponzi Scheme

The Securities and Exchange Commission (“SEC”) announced that it has charged Odessa, Texas-based JNL Oilfield Instruments, LLC and its founder Jeffery McCollum with…

Attorney Herbert Sudfeld Sentenced to 6 Months Imprisonment for Insider Trading

On July 22, 2016, Judge Cynthia M. Rufe of the U.S. District Court for the Eastern District of Pennsylvania sentenced former attorney…

Court Enters Final Judgment Against Michael Cain

The Securities and Exchange Commission (“SEC”) announced that on July 20, 2016, the Honorable Charles Pannell of the United States District Court…

SEC Nails Pot Stock Promoters

On July 9, the Securities & Exchange Commission (“SEC”) settled with Alexander Hawatmeh and Christopher Mrowca who allegedly received more than $2.5 million…

FINRA Amends Regulation NMS

The Financial Industry Regulatory Authority has adopted amendments to its rules related to the operation of the Regulation NMS Plan to Address Extraordinary…

Court Issues Asset Freeze Over James Hugh Brennan and Douglas Albert Dyer in Fraud Case

On July 22, 2016, the Honorable Travis R. McDonough of the Eastern District of Tennessee entered a court-ordered asset freeze to halt…

SEC Charges Jeffrey Wilson, Former CEO of Imperial Petroleum with Securities Fraud

On July 20, 2016, the SEC charged Jeffrey Wilson, the former CEO of Imperial Petroleum, Inc., and a defendant in a SEC…

Court Enters Final Judgment Against Tyson Williams and Stanley Parrish in Fraud Case

On July 18, 2016, the U.S. District Court for the District of Utah entered final judgments against Tyson Williams and Stanley Parrish, both…

SEC Charges Thomas Conrad and His Son with Fraud

On Friday, July 15, 2016, the Securities and Exchange Commission (“SEC”) charged Thomas Conrad, Jr. and his son, Stuart Conrad, and their two…

Vineet Kalucha Sentenced to Federal Prison for Obstructing Investigation

Vineet Kalucha was sentenced to fifteen months in prison in a parallel criminal case after pleading guilty to charges that he obstructed justice…

Thomas and Stuart Conrad Charged With Securities Fraud

On Friday, July 15, 2016, the Securities and Exchange Commission (“SEC”) charged two residents of Alpharetta, Georgia, Thomas Conrad, Jr. and his…

Judgments Entered Against Tyson Williams and Stanley Parrish

On July 18, 2016, the U.S. District Court for the District of Utah entered final judgments against Tyson D. Williams and Stanley…

Jeffrey Wilson, the former CEO of Imperial Petroleum Found Guilty

On July 22, 2016, Jeffrey Wilson, the former CEO of Indiana-based Imperial Petroleum, Inc., and a defendant in a SEC civil enforcement…

When is a Foreign Private Issuer Required to File Form 6-K?

Foreign Private Issuers that are subject to the reporting requirements of the Securities Exchange Act of 1934, as amended, (the “Exchange Act),…

SEC Regulation A+ Meeting Addressing Emerging Companies

On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced the agenda for its July 19 meeting of its Advisory Committee on…

Permanent SEC Bar Against Joseph Apuzzo of Terex Corporation Entered

On May 5, 2016, Judge Alvin W. Thompson of the U.S. District Court for the District of Connecticut granted the SEC’s motion…

The SEC Announces Securities Fraud In ForceField Energy

On May 3, 2016, the SEC announced securities fraud charges against 10 individuals involved in cash bribes and other kickbacks to registered…

IHUB Pushes Back to COR Clearing Subpoena in Calissio Case

We last wrote about the complex litigation involving Calissio Resources Group (CRGP) in February. It arose out of a controversy surrounding the…

Operation Bermuda Short In Retrospect

Many penny stocks have bad histories, or are associated with questionable players. Only last December, convicted felon Edward Durante was civilly and…

Court Sentences Michael Donnelly to 99 Months Imprisonment and $1.99 Million in Restitution

The Securities and Exchange Commission (“SEC”) announced today that, on April 11, 2016, a federal court in Philadelphia, Pennsylvania sentenced Michael Donnelly…

SEC Charges Former Head of GTM, Khaled Bassily with Fraud

The Securities and Exchange Commission (“SEC”) filed a civil injunctive action on April 12, 2016, in the United States District Court for…

Servergy Inc. and William Mapp Charged for Purporting False Information About Product

On April 11, 2016 the Securities and Exchange Commission (“SEC”) announced fraud charges against a Texas-based technology company and its founder accused of…

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/