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),…
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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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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…
Read MorePermanent 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…
Read MoreThe 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…
Read MoreIHUB 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…
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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…
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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…
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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…
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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…
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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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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…
Read MoreAVEO 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…
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/Go Public 101
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://www.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://www.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://www.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://www.securitieslawyer101.com/securities-law-video-series/