DTC Imposes Corporate Action DTC Eligibility Fee
On December 30, 2015, the Securities and Exchange Commission (“SEC”) published a notice that it was soliciting comments for a proposed rule…
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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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Martin Shkreli Charged with Securities Fraud
On December 17, 2015, the Securities and Exchange Commission (SEC) charged Martin Shkreli, former CEO of pharmaceutical company Retrophin, with committing fraud…
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SEC Obtains Asset Freeze of Oxford City Football Club
On December 10, 2015, the Securities and Exchange Commission (SEC) filed a complaint that charged Oxford City Football Club, Inc. and its…
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Court Issues Final Judgment Against Auditor Timothy Quintanilla
The United States Securities and Exchange Commission (SEC) announced that, on December 4, 2015, the Court for the Southern District of New York…
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SEC Charges Vinh Le and His Company with Fraud
The Securities and Exchange Commission (SEC) announced that on December 15, 2015, it filed charges against Vu Le a/k/a Vinh Le and his…
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SEC Charges Edward Durante with Securities Fraud
The Securities and Exchange Commission (SEC) charged Edward Durante, a recidivist securities law violator with operating a multi-year offering fraud that targeted…
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Information About Foreign Issuers and Foreign Companies
The U.S. capital markets have long been a desired goal for foreign companies that are interested in raising funds or establishing a…
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FAST Reduces Form S-1 Rules & Creates the Section 4(a)(7) Resale Resale Exemption
Last month, the Fixing America’s Surface Transportation Act, or FAST Act became law. The FAST Act is primarily a transportation bill but…
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How Do I Register A Direct Public Offering?
Securities Lawyer 101 Blog Private companies seeking to go public often use a direct public offering (“Direct Public Offering”). Unlike an Initial…
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Court Enters Final Judgment Against eAdGear and Its Operators
The Securities and Exchange Commission (SEC) announced that on February 1, 2016, the Honorable Richard Seeborg of the United States District Court…
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Robert Bray Found Guilty of Insider Trading
The Securities and Exchange Commission (SEC) announced that on January 28, 2016, a jury in the federal court in Boston Massachusetts,…
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SEC Seeks Enforcement Action After Reverse Merger
The Securities and Exchange Commission (SEC) filed an action to enforce compliance with document and testimony subpoenas served upon Jessica…
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SEC Charges CAUSwave and Its Principals with Fraud
On December 14, 2015 the Securities and Exchange Commission (SEC) charged a Pittsboro, North Carolina-based startup energy company and two executives with…
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SEC Files Subpoena Against President of FX & Beyond Corporation
On December 9, 2015 the Securities and Exchange Commission (SEC) obtained a court order in its subpoena enforcement action against respondent Steve Karroum…
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Robert Seibert Charged In Scheme Targeting Seniors
On December 2, 2015, the Securities and Exchange Commission (SEC) charged Robert Seibert with operating a multi-year offering fraud that targeted elderly…
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Jehu Hand Charged with Market Manipulation Scheme
The Securities and Exchange Commission (SEC) charged a California-licensed attorney and a stock promoter behind a pump-and-dump scheme that defrauded investors in…
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Court Approves Settlement Between SEC and Covenant Partners
The United States Bankruptcy Court for the Eastern District of Pennsylvania issued an order approving of the terms of a proposed settlement…
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Court Enters Summary Judgment Against Enron’s Former CEO
The Securities and Exchange Commission (SEC) obtained a summary judgment against former Enron president, COO, and CEO Jeffrey Skilling to conclude its…
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SEC Files Suit Against Promoter of ZeekRewards
On December 4, 2015 the Securities and Exchange Commission (SEC) filed suit against Trudy Gilmond for her participation in the unregistered…
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SEC Late Filers 101 – Going Public Attorneys
It’s that time of year again when companies filing reports with the Securities and Exchange Commission (“SEC”) that have a December 31st year…
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SEC Charges Hui Feng With EB-5 Offering Fraud
The SEC filed a complaint alleging that Hui Feng and his firm, Law Offices of Feng & Associates P.C., acted as unregistered…
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Court Finds Wayne Palmer Guilty in Ponzi Scheme
The Securities and Exchange Commission (SEC) won a case involving a Ponzi scheme. According to the SEC Wayne Palmer and his company National Note of…
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SEC Issues Subpoena to NetCirq LLC
On November 25, 2015, the SEC filed a subpoena enforcement action against NetCirq, LLC (“NetCirq”). According to the SEC’s application and supporting papers, the…
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Cry Me a Sater…Felix Sater & Donald Trump
In February 2015, Felix Sater proudly announced the debut of a new website. As he puts it, it “showcases [his] accomplishments,…
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Court Enters Final Judgment In Penny Stock Case
The Securities and Exchange Commission (SEC) announced that the Court entered a final judgment against Defendant Chad Smanjak on November 23, 2015…
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SEC Acquires Court Order for an Asset Freeze for Lin Zhong
The Securities and Exchange Commission (SEC) announced on November 19, 2015 that it has obtained a court order freezing the assets of…
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SEC Announces Emergency Halt on Fraudster’s Operations
On December 1, 2015 the Securities and Exchange Commission (SEC) announced the entry of a Consent Order (“Order”) halting an alleged ongoing…
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Court Enters Final Judgment Against Prima Capital Group
The Securities and Exchange Commission (SEC) announced that on September 29, 2015, a final judgment was entered against Efstratios “Elias” Argyropoulos of…
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SEC Charges Two Bitcoin Companies for Operating a Ponzi Scheme
On December 1, 2015 the Securities and Exchange Commission (SEC) charged two Bitcoin mining companies and their founder with conducting a…
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SEC Obtains Asset Freeze In EB-5 Scam
The Securities and Exchange Commission (SEC) announced an asset freeze obtained against two people in San Bernardino, California accused of defrauding Chinese…
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
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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
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