Darren Ofsink Indicted – Securities Lawyers Gone Wild
On November 4, 2015, the U.S. Attorney for the Eastern District of New York announced that Darren Ofsink, a Manhattan attorney and founder…
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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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Default Judgment Grants Full Relief Against Premiere Power and Its Chairman in Offering Fraud
On October 21, 2015 the Securities and Exchange Commission (SEC) announced that on October 9, 2015, the United States District Court for…
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Schedule 13D and 13G Filing Requirements Securities Lawyer 101 Q&A
The Exchange Act requires beneficial owners of more than 5 percent of a class of equity securities of a Securities & Exchange…
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Keeping A Close Watch On Equity Crowdfunding
With equity crowdfunding now legal, we can expect to see the Securities & Exchange Commission (“SEC”) keeping a close watch for unregistered…
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What Is Wrong With Buying a Shell To Go Public?
Securities Lawyer 101 Blog Between January of 2000 and present, the Securities and Exchange Commission (the “SEC”) has suspended or halted thousands of…
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Donald Lester and His Private Firm Charged with Fraud
On October 16, 2015, the Securities and Exchange Commission (SEC) filed fraud and other charges against Donald Lester and his private equity…
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Hedge Fund Manager Lonny Bernath Charged with Fraud
On October 13, 2015, the Securities and Exchange Commission (SEC) charged a hedge fund manager from Charlotte, Lonny Bernath, with defrauding investors…
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SEC Obtains Summary Judgment Against Andrew Farmer in Pump-And-Dump Scheme
The Securities and Exchange Commission (SEC) announced on October 9, 2015, that on October 7, 2015, it secured a summary judgment on all…
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SEC Charges Nicolas Zanen and His Friend with Insider Trading
The Securities and Exchange Commission (SEC) announced on October 9, 2015 that it has charged Nicolas Zanen, Vice President of Trading at a…
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Equity Crowdfunding Approved – Going Public Attorney
Equity Crowdfunding was adopted pursuant to Title III of the Jumpstart Our Business Act (JOBS Act). The rule allows companies to raise…
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SEC Issues Trading Suspension of Locan & American Power Corp
On October 30, 2015, the U.S. Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of American…
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What Disclosure Is Required By Rule 15c2-11?
Rule 15c2-11 under the Securities and Exchange Act of 1934 (Exchange Act) governs the submission and publication of quotations by brokers and…
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SEC Wins Summary Judgment Against Allen Smith
The Securities and Exchange Commission (SEC) announced on October 8, 2015 that Judge Paul Barbadoro of the United States District Court for…
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SEC Addresses Equity Crowdfunding – Going Public Attorney
On October 30, 2015, three years after The JOBS Act became law, the Securities and Exchange Commission (SEC) will vote in an…
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Court Enters Default Judgment Against James Erwin and Malom Group
The Securities and Exchange Commission (SEC) announced on October 8, 2015 that the United States District Court for the District of Nevada…
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SEC Obtains Final Judgments Against Operators of a Ponzi Scheme
On October 8, 2015, the Securities and Exchange Commission (SEC) announced that the Court entered final judgments on September 28, 2015, against…
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SEC Charges Oscar Wu With Settled Insider Trading
The Securities and Exchange Commission (SEC) on October 7, 2015 filed settled insider trading charges against Oscar Wu, a former portfolio manager…
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Former Executives of OCZ Technology Group Charged with Fraud
The Securities and Exchange Commission (SEC) on October 6, 2015, charged two former top executives at OCZ Technology Group, Inc. for accounting failures at…
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SEC Charges Steve Chen With Fraud and Imposes Asset Freeze
On September 22, 2015, the Securities and Exchange Commission (SEC) filed, under seal, fraud charges and, on September 28, obtained asset freezes…
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James Quay Found Guilty for Perjury and Fraud
The Securities and Exchange Commission (SEC) announced on October 5, 2015 that on September 28, 2015, Judge Richard Story of the United…
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The SEC Charges Arizona Players with Embezzlement
The Securities and Exchange Commission (SEC) charged five Arizona residents with embezzlement. Allegedly, these residents stole millions of dollars from investors to…
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Final Judgement Entered Against Amyot And Spencer Pharmaceutical
The Securities and Exchange Commission (SEC) announced October 1, 2015 that on September 30, 2015, the United States District Court for the District of…
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Trade Secrets
On December 28, 2012, the Theft of Trade Secrets Clarification Act became law. The Act amends the Economic Espionage Act of 1996…
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Ranjan Mendonsa and Ammar Akbari Charged with Insider Trading
The Securities and Exchange Commission (SEC) announced on October 1, 2015 that on September 28, 2015, the Honorable Haywood Gilliam of the United States…
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Securities Lawyer 101 Blog Wins Third Place In Best Legal Blog Contest
Our readers have spoken. Securities Lawyer 101 written by Brenda Hamilton, a securities and going public attorney has won third place in overall winners…
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SEC Charges Executives of ContinuityX Solutions with Fraud
The Securities and Exchange Commission (SEC) announced that it charged two former executives of ContinuityX Solutions, Inc. with fabricating nearly all of…
Read MoreCharles Riel and REinvest LLC Charged with Securities Fraud
On September 29, 2015, the Securities and Exchange Commission (SEC) charged a company and its manager with securities fraud of their investors by…
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Lee Dana Weiss Charged with Self-Dealing and Failure to Disclose
The Securities and Exchange Commission (SEC) announced on September 29, 2015 fraud charges against a registered investment adviser and its owner for…
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Jose Ramirez Charged by the SEC for Conducting Fraudulent Scheme
On September 29, 2015, the Securities and Exchange Commission (SEC) charged Jose Ramirez, a former top broker at UBS Financial Services Incorporated…
Read MoreNYSE Amends Rules For The Release of Material News
Halts Before Open Under the amended NYSE Listed Company Manual, between 7:00 a.m. and the opening of trading, the NYSE can implement…
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
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https://www.sec.gov/Securities Lawyer 101 Newsletter
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