Rosalind Herman Convicted of Defrauding Investors of Over $1.3 Million
The Securities and Exchange Commission (SEC) announced that, on April 5, 2016, a federal jury in Massachusetts convicted Rosalind Herman of Woburn,…
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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.
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David Aubel and Robert Raffa Charged with Stock Manipulation Scheme
On April 7th, 2016, the Securities and Exchange Commission (SEC) announced fraud charges against two men behind a scheme to manipulate the…
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SEC Charges John Scott Clark with Securities Fraud
On March 31, 2016, the Securities and Exchange Commission (SEC) announced fraud charges against a Cache County, Utah man who solicited investors…
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SEC Charges Nathanial Ponn with Defrauding Several Brokerage Firms
The Securities and Exchange Commission (SEC) announced fraud charges against Massachusetts resident Nathanial Ponn for engaging in a scheme to defraud numerous broker-dealers over…
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Navistar International Reaches Settlement Agreement with SEC
The Securities and Exchange Commission (SEC) charged Navistar International Corp. with misleading investors about its development of an advanced technology truck engine…
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Daniel and Matthew Rivera Charged for Running a Ponzi Scheme Directed at Seniors
On March 24, 2016, the Securities and Exchange Commission charged two brothers, and a company that they founded purportedly to develop…
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When Short Sellers Hit Cannabis Stocks
When Shorts Hit Cannabis Stocks When a public stock’s price declines, it has become common practice for penny stock issuers and their…
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SEC Charges Andrew Caspersen with Defrauding Two Institutions
The Securities and Exchange Commission (SEC) charged a New York-based securities professional with defrauding two institutions he solicited to invest in a…
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TV New Commentator Agrees to Settle SEC’s Charges
The Securities and Exchange Commission (SEC) announced that a former market analyst and TV news commentator has agreed to settle charges that he and…
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AVEO Pharmaceuticals Misleads Investors About FDA Approval of New Drug
The Securities and Exchange Commission announced fraud charges against a Massachusetts-based biotech company and three former executives for misleading investors about the…
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Stanley Kowalewski Sentenced to 18 Years’ Imprisonment for Wire Fraud and Obstruction of Justice
On March 25, 2016, the Honorable Richard W. Story of the United States District Court for the Northern District of Georgia sentenced…
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SEC Charges John Bivona and Saddle River Advisors with Fraud
On March 25, 2016 the Securities and Exchange Commission (SEC) announced fraud charges and asset freezes obtained in a case filed against a…
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Court Holds James Louks and FiberPop Solutions in Civil Contempt
The Securities and Exchange Commission (SEC) announced that the Honorable Patrick J. Schiltz of the United States District Court for the District…
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CEO of TierOne Bank Sentenced to 11 Years in Prison
The Securities and Exchange Commission (SEC) announced that on March 23, 2016, Gilbert Lundstrom, the former chairman of the board and CEO…
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SEC Enters Settlement with Perpetrators of an Alleged Hacked News Release Scheme
The Securities and Exchange Commission (SEC) announced on March 24, 2016 that it had entered into settlement agreements, subject to court approval,…
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Court Finds Leon Parvizian and His Two Companies Liable on All Counts for Oil and Gas Fraud
The Securities and Exchange Commission (SEC) announced on March 24, 2016 that a federal court in Texas found promoters of fraudulent oil and…
Read MoreGuy Gentile Charged with Operating a Penny Stock Manipulation Scheme
On March 23, 2016, the Securities and Exchange Commission (SEC) charged Guy Gentile, a resident of Putnam Valley, New York, with perpetrating…
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Court Enters Judgments Custodianship Shell Amogear Stock Scheme
On March 23, 2016, the Securities and Exchange Commission (SEC) announced that the federal court in Boston, Massachusetts entered judgments by consent…
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Court Enters Nearly $2 Million Judgment Against Gregory Jones for Defrauding Investors
The Securities and Exchange Commission (SEC) announced on March 23, 2016 that a federal court has ordered a nearly $2 million judgment…
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Court Enters Final Judgment Against Fraudster Bruce Strebinger
The Securities and Exchange Commission (SEC) announced on March 21, 2016 that on March 15, 2016, the Honorable Leigh Martin May of the United…
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Former Microsoft Manager Charged with Insider Trading Ahead of Acquisition of Nokia
The Securities and Exchange Commission (SEC) announced on March 18, 2016 that former Microsoft Corporation senior manager, John Hardy III has agreed…
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Court Enters Final Judgment Against Insider Trading Defendant Yue Han
On March 16, 2016, the Court for the Southern District of New York entered a final judgment against defendant Yue Han, based…
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SEC Charges Mark Jones for a Ponzi Scheme Purporting to Offer “Bridge Loans” to Jamaican Businesses
On March 15, 2016, the Securities and Exchange Commission (SEC) charged former Boston resident Mark Jones with operating a $10 million…
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CEO of RVPlus Charged with Soliciting Fake Contracts with Foreign Governments
The Securities and Exchange Commission (SEC) charged a microcap company CEO for falsely claiming to have a lucrative relationship with the United…
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SEC Charges Daniel Thibeault with Misappropriating Millions in Investor Funds
On March 14, 2016 the Securities and Exchange Commission (SEC) announced that on March 3, 2016, Daniel Thibeault, the President/CEO of a…
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California Businessman Daniel Nase Stole Investor Funds and Tried to Conceal It
On March 11, 2016 the Securities and Exchange Commission (SEC) announced fraud charges against California businessman Daniel Nase, accusing him of…
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Nedko Nedev Charged for Fraudulent Scheme Related to the Stock of Avon Products
The U.S. Securities and Exchange Commission (SEC) announced on March 11, 2016 that a federal grand jury in Manhattan has indicted…
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3 Executives of Aequitas Management LLC Charged with Fraud
On March 11, 2016 the Securities and Exchange Commission (SEC) charged an Oregon-based investment group and three top executives with hiding the…
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Do State Blue Sky Laws Apply To Regulation D Offerings?
Issuers are sometimes unaware of the state laws that apply to offerings that are exempt under the federal securities laws.…
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Uni-Pixel Inc. Charged with Misleading Investors About New Touchscreen Sensor Product
The Securities and Exchange Commission (SEC) announced that Uni-Pixel Inc., developer of technologies for touchscreen devices, has agreed to pay $750,000 to settle…
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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.
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