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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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 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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SEC Charges Jay Fung with Insider Trading in the Stock of Pharmasset Inc.
On March 9, 2016 the Securities and Exchange Commission (SEC) announced that a Florida man trading on inside information ahead of a…
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Court Denies Motion to Reconsider Summary Judgment Against June Fujinaga
On March 4, 2016, the Honorable James C. Mahan, United States District Judge for the District of Nevada, entered an order denying…
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SEC Charges Banc de Binary with Acting as an Unregistered Broker-Dealer
The SEC filed a complaint in 2013 against Banc de Binary Ltd, its founder Oren Shabat Laurent, and three affiliates that operate…
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Wells Fargo and Rhode Island Agency Charged with Fraud
On March 7, 2016 the Securities and Exchange Commission (SEC) charged a Rhode Island agency and its bond underwriter Wells Fargo Securities…
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Court Reaches Verdict Against Daryl Payton and Benjamin Durant for Insider Trading
The Securities and Exchange Commission (SEC) has obtained a jury verdict in its favor in a federal district court trial in Manhattan…
Read MoreCourt Enters Final Judgments Against Zachary Zwerko and David Post
The Securities and Exchange Commission (SEC) announced that on March 1, 2016, the Honorable Richard J. Sullivan of the United States District…
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Final Judgment Entered Against Nan Huang for Insider Trading
On February 26, 2016 the U.S. District Court for the Eastern District of Pennsylvania issued a memorandum opinion and final judgment against…
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Court Enters Final Judgment Against Francis Canellas
The Securities and Exchange Commission (SEC) announced that on February 24, 2016, the Honorable Valerie E. Caproni of the United States District…
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Court Enters Final Partial Judgment Against Paul Petrello for Insider Trading Scheme
The Honorable Michael A. Shipp, United States District Judge for the District of New Jersey, has entered a partial final consent judgment…
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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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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…
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.
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https://www.sec.gov/Securities Lawyer 101 Newsletter
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https://www.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
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