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…
Read MoreBlog
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
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…
Read More
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…
Read More
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…
Read More
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.…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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 More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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,…
Read More
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…
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/