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.

Latest Blog Posts

Sean Stewart Found Guilty of Insider Trading

On August 17, 2016, a jury in federal court in Manhattan returned a guilty verdict on all nine counts against former investment…

Stockbroker Paul Rampoldi Charged with Insider Trading

On August 11, 2016 the Securities and Exchange Commission (“SEC”) charged stockbroker Paul Rampoldi and his friend with participating in an insider…

Global Digital Solutions of West Palm Beach, FL and CEO Charged with Fraud

On August 12, 2016 the Securities and Exchange Commission (“SEC”) charged West Palm Beach-based Global Digital Solutions, former chairman and CEO Richard Sullivan,…

Sameer and Praveen Sethi Found in Contempt of Court After Injuction

On August 9, 2016, a federal court in Texas entered contempt orders against Sameer Sethi, Praveen Sethi, and John Weber after they…

Edwin Ruh Jr. and His Firm Charged for a Fraudulent Securities Offering

On August 10, 2016, the Securities and Exchange Commission (“SEC”) filed fraud charges against an individual, Edwin Ruh Jr., and his firm,…

Three Officers of Brokerage Firm Global Transition Solutions Charged with Fraud

On August 8, 2016 the Securities and Exchange Commission (“SEC”) charged three individuals and the now-defunct firms Global Transition Solutions, Inc. and…

Football Player Merrill Robertson Jr. Charged with Running a $10 Million Fraud

On August 10, 2016 the Securities and Exchange Commission (“SEC”) charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with…

Investment Advisor Patrick Churchville Pleads Guilty to Running $21 Million Ponzi

On August 4, 2016, Patrick Churchville, a defendant in an ongoing SEC litigation, pled guilty to an information charging him with five…

Cardiologist Dr. Edward Kosinski Charged with Insider Trading

On August 4, 2016 the Securities and Exchange Commission (“SEC”) charged a cardiologist with insider trading on confidential developments as he worked…

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…

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/