SEC Charges TexStar Oil and Nathan Halsey with Fraud
The Securities and Exchange Commission (SEC) charged Nathan Halsey and TexStar Oil, Ltd. in the United States District Court for the Northern…
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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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Court Issues Final Judgments Against Scott Valente and the ELIV Group
The Securities and Exchange Commission (SEC) announced that on February 17, 2016, Judge Vincent L. Briccetti of the United States District Court…
Read MoreSEC Charges 9 More Defendants in Hacked News Release Scheme with Fraud
On February 18, 2016 the Securities and Exchange Commission (SEC) filed fraud charges against nine defendants for taking part in an international scheme to…
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Randy Hamdan Consents to Settling Market Manipulation Case
The Securities and Exchange Commission (SEC) announced that, on February 17, 2016, Judge Nancy Edmunds of the U.S. District Court for the Eastern…
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6 Charged for Violating Antifraud Provisions of the Federal Securities Laws
On February 16, 2016, the Securities and Exchange Commission (SEC) charged PV Enterprises, Inc. (“PVEC”) and Panagiotis Villiotis (“Villiotis”) with violations of…
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Michael Affa Sentenced in Microcap Case
On February 12, 2016, a federal court in Boston, Massachusetts sentenced Michael Affa, of Toms Rivers, New Jersey, to 33 months in prison…
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Attorney Adam Tracy & the Nefarious World of Custodianship Shells
The Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies, and would like to see them gone from the…
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Wade James Lawrence Charged with Securities Fraud and Unauthorized Trading
On February 16, 2016 the Securities and Exchange Commission (SEC) charged Wade James Lawrence, a former investment adviser with two dually-registered securities firms, with…
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Gregory Ruehle Charged with Defrauding Investors and Acting as an Unregistered Broker-Dealer
The Securities and Exchange Commission (SEC) charged an unregistered broker in Oceanside, California with fraudulently selling purported stock in a medical device…
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Attorney Jilbert Tahmazian Charged with Fraud in a Prime Bank Scheme
On February 11, 2016 the Securities and Exchange Commission (SEC) charged Jilbert Tahmazian, a lawyer licensed in the state of California, with fraud for…
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Frank Lleras Charged with Conducting a Fraudulent Investment Scheme
On February 10, 2016, the Securities and Exchange Commission (SEC) charged Frank Lleras and two Charlotte, North Carolina-based companies that he controls,…
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Court Enters Final Judgment Against Moazzam “Mark” Malik and Wolf Hedge LLC
The Securities and Exchange Commission (SEC) announced that on February 9, 2016, the Court for the Southern District of New York entered…
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Penny Stock Issuers and Their Principals Charged with Fraud
The Securities and Exchange Commission (SEC) charged two penny stock issuers and their principals with fraud for disseminating false and misleading press…
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Court Enters Final Judgment Against Martin Weisberg
The Securities and Exchange Commission (SEC) announced that on January 20, 2016, the Court for the Eastern District of New York entered…
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Insider Trading Defendant Herbert Sudfeld Found Guilty in a Related Case
The Securities and Exchange Commission (SEC) announced that on February 5, 2016, a jury in federal court in Philadelphia returned a guilty…
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SEC Charges American Growth Funding II with Fraud
On February 3, 2016, the Securities and Exchange Commission (SEC) charged a lending company in Manhattan, American Growth Funding II LLC…
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SEC Enters Settlement Agreement with Concorde Bermuda Ltd.
The Securities and Exchange Commission (SEC) announced that it entered into a settlement agreement, subject to court approval, with Ukrainian-based Concorde Bermuda Ltd.…
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Court Enters Final Judgment Against Shirmila Doddi For Insider Trading
The Securities and Exchange Commission (SEC) announced that on January 20, 2016, the Court for the District of Massachusetts entered a final…
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Court Enters Final Judgment Against CEO of Polycom
The Securities and Exchange Commission announced that on January 26, 2016, the Honorable Yvonne Gonzalez Rogers of the United States District Court…
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Court Issues Asset Freeze Over Sedona Oil and Its President
On January 21, 2016, the Securities and Exchange Commission (SEC) filed an emergency civil action against a Dallas company, Sedona Oil and…
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SEC Charges Marquis Properties and Its Principals With Operating a Ponzi Scheme
The Securities and Exchange Commission (SEC) obtained an asset freeze and other ancillary relief against Marquis Properties, LLC, and its CEO/President…
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SEC Charges StratoComm Coporation with Illicit Sale of Securities
On October 4, 2011, the Securities and Exchange Commission (SEC) filed a complaint in United States District Court for the Northern District…
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COR Clearing Subpoenas Retail Shareholder Trade Information
Last fall, we wrote about a highly unusual cash dividend paid by penny stock Calissio Resources Group, Inc. (CRGP). The payment…
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Court Approves Summary Judgment Against Stewart Merkin
On January 13, 2016, the United States Court of Appeals for the Eleventh Circuit affirmed entry of summary judgment in favor of…
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Pyramid Schemer Sanderly Rodrigues Incarcerated for Violation of Court Order
The Securities and Exchange Commission (SEC) announced that Sanderley Rodrigues de Vasconcelos (“Rodrigues”) of Davenport, Florida, who is charged with promoting a…
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SEC Seeks Enforcement Against CEO of DecisionPoint
The Securities and Exchange Commission (SEC) filed a complaint in the United States District Court for the Southern District of Florida against…
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Court Denies Defendants’ Motion to Dismiss SEC Insider Trading Enforcement
The Securities and Exchange Commission (SEC) announced that the U.S. District Court for the District of Rhode Island denied defendants Anthony Andrade’s…
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SEC Charges Robert Crowe for Joining a Pay-to-Play Scheme
The Securities and Exchange Commission (SEC) filed a complaint against Robert Crowe, a law firm partner who worked as a fundraiser and…
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SEC Wins Insider Trading Case Against Capital One Employee
The Securities and Exchange Commission (SEC) obtained a jury verdict in its favor in a federal district court trial in Philadelphia against…
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SEC Obtains Judgment Against Steven Davis
The Securities and Exchange Commission (SEC) announced that on January 8, 2016, the United States District Court for the Southern District of…
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/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/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://ppe.securitieslawyer101.com/securities-law-video-series/