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.

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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…

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…

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…

Owners 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…

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…

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…

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…

Court 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…

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…

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…

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…

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,…

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…

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…

Mark 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,…

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…

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…

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…

SEC Obtains Emergency Order to Prevent Anthony Buzaneli from Leaving U.S.

On August 26, 2016, Judge Susan Richard Nelson of the District of Minnesota issued an order requiring Anthony Buzaneli to surrender his…

Court Enters Final Judgment Against Jilbert Tahmazian in an Antifraud Action

On August 26, 2016, the U.S. District Court for the Central District of California entered a final judgment against Jilbert Tahmazian, an…

Donald Watkins and his Companies Charged with Defrauding Investors

The Securities and Exchange Commission (“SEC”) charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and other investors…

Court Enters Final Judgments Against Promotors of Fraud Company Wings Network

On August 31, 2016, a federal court in Boston, Massachusetts, entered final judgments by default against five defendants in an ongoing enforcement…

SEC Files Complaint Against Dennis Hamilton of Harman International Industries

On February 5, 2016, the SEC filed a complaint charging Dennis Wayne Hamilton with insider trading in the company’s stock and…

SEC Charges Enviro Board Corporation and Two Executives with Fraud

On August 26, 2016 the Securities and Exchange Commission (“SEC”) charged Enviro Board Corporation and two of its executives with using baseless financial…

SEC Files Subpoena Against Edward Panos and His Wife for Penny Stock Fraud

On August 25, 2016 the Securities and Exchange Commission (“SEC”) announced that it filed a subpoena enforcement action in the U.S. District Court…

SEC Charges Secured Income Reserve and Former Officers with Fraud

The Securities and Exchange Commission (“SEC”) filed fraud charges against Secured Income Reserve, Inc. and three of its former officers alleging that…

Cedric Cañas Charged with Insider Trading and Ordered to Pay Over $1.1 Million

The Securities and Exchange Commission (“SEC”) obtained a default judgment against a former high-ranking executive at Madrid-based Banco Santander, S.A. (“Santander”)…

John Ragsdale Charged with Aiding and Abetting Penny Stock Fraud

On August 22, 2016 the Securities and Exchange Commission (“SEC”) announced that it has charged John Ragsdale of South Carolina with aiding and…

Michael Andre Jones Charged for Fraudulent Offering and Sales of Unregistered Securities

On August 22, 2016 the Securities and Exchange Commission (“SEC”) announced that, on August 19, 2016, the SEC filed a settled civil action in…

Court Enters Final Judgment Against Patrick O’Neill in Insider Trading Case

On August 18, 2016, the federal district court in Massachusetts entered a final judgment against a senior vice president at Eastern Bank Corporation, Patrick…

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/