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.
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…
Read MoreOn March 9, 2016 the Securities and Exchange Commission (SEC) announced that a Florida man trading on inside information ahead of a…
Read MoreOn March 4, 2016, the Honorable James C. Mahan, United States District Judge for the District of Nevada, entered an order denying…
Read MoreThe SEC filed a complaint in 2013 against Banc de Binary Ltd, its founder Oren Shabat Laurent, and three affiliates that operate…
Read MoreOn March 7, 2016 the Securities and Exchange Commission (SEC) charged a Rhode Island agency and its bond underwriter Wells Fargo Securities…
Read MoreThe Securities and Exchange Commission (SEC) has obtained a jury verdict in its favor in a federal district court trial in Manhattan…
Read MoreThe Securities and Exchange Commission (SEC) announced that on March 1, 2016, the Honorable Richard J. Sullivan of the United States District…
Read MoreOn February 26, 2016 the U.S. District Court for the Eastern District of Pennsylvania issued a memorandum opinion and final judgment against…
Read MoreThe Securities and Exchange Commission (SEC) announced that on February 24, 2016, the Honorable Valerie E. Caproni of the United States District…
Read MoreThe Honorable Michael A. Shipp, United States District Judge for the District of New Jersey, has entered a partial final consent judgment…
Read MoreThe Securities and Exchange Commission (SEC) charged Nathan Halsey and TexStar Oil, Ltd. in the United States District Court for the Northern…
Read MoreThe Securities and Exchange Commission (SEC) announced that on February 17, 2016, Judge Vincent L. Briccetti of the United States District Court…
Read MoreOn February 18, 2016 the Securities and Exchange Commission (SEC) filed fraud charges against nine defendants for taking part in an international scheme to…
Read MoreThe Securities and Exchange Commission (SEC) announced that, on February 17, 2016, Judge Nancy Edmunds of the U.S. District Court for the Eastern…
Read MoreOn February 16, 2016, the Securities and Exchange Commission (SEC) charged PV Enterprises, Inc. (“PVEC”) and Panagiotis Villiotis (“Villiotis”) with violations of…
Read MoreOn February 12, 2016, a federal court in Boston, Massachusetts sentenced Michael Affa, of Toms Rivers, New Jersey, to 33 months in prison…
Read MoreThe Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies, and would like to see them gone from the…
Read MoreOn February 16, 2016 the Securities and Exchange Commission (SEC) charged Wade James Lawrence, a former investment adviser with two dually-registered securities firms, with…
Read MoreThe Securities and Exchange Commission (SEC) charged an unregistered broker in Oceanside, California with fraudulently selling purported stock in a medical device…
Read MoreOn February 11, 2016 the Securities and Exchange Commission (SEC) charged Jilbert Tahmazian, a lawyer licensed in the state of California, with fraud for…
Read MoreOn February 10, 2016, the Securities and Exchange Commission (SEC) charged Frank Lleras and two Charlotte, North Carolina-based companies that he controls,…
Read MoreThe Securities and Exchange Commission (SEC) announced that on February 9, 2016, the Court for the Southern District of New York entered…
Read MoreThe Securities and Exchange Commission (SEC) charged two penny stock issuers and their principals with fraud for disseminating false and misleading press…
Read MoreThe Securities and Exchange Commission (SEC) announced that on January 20, 2016, the Court for the Eastern District of New York entered…
Read MoreThe Securities and Exchange Commission (SEC) announced that on February 5, 2016, a jury in federal court in Philadelphia returned a guilty…
Read MoreOn February 3, 2016, the Securities and Exchange Commission (SEC) charged a lending company in Manhattan, American Growth Funding II LLC…
Read MoreThe Securities and Exchange Commission (SEC) announced that it entered into a settlement agreement, subject to court approval, with Ukrainian-based Concorde Bermuda Ltd.…
Read MoreThe Securities and Exchange Commission (SEC) announced that on January 20, 2016, the Court for the District of Massachusetts entered a final…
Read MoreThe Securities and Exchange Commission announced that on January 26, 2016, the Honorable Yvonne Gonzalez Rogers of the United States District Court…
Read MoreOn 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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