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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.
On November 12, 2015, a federal court in Boston, Massachusetts, entered a final judgment against Tropikgadget FZE and Tropikgadget Unipessoal LDA (collectively, “Tropikgadget”) of…
Read MoreOn November 17, 2015 the Securities and Exchange Commission charged Steven Watson with insider trading fraud, claiming he illegally profited from news of a…
Read MoreThe Securities and Exchange Commission (SEC) announced that it has obtained final judgments against a former Los Angeles-based immigration attorney, his wife,…
Read MoreOn November 12, 2015 the Securities and Exchange Commission (SEC) announced that the Court awarded summary judgment and entered a final judgment…
Read MoreThe Securities and Exchange Commission (SEC) announced that on November 5, 2015 an emergency enforcement action was filed in federal district court…
Read MoreOn December 7, 2015 the Securities and Exchange Commission (SEC) announced a series of enforcement actions against lawyers across the country charged with offering…
Read MoreOn November 10, 2015 the Securities and Exchange Commission (SEC) announced insider trading charges and an emergency asset freeze against cousins Zhichen Zhou…
Read MoreOn November 9, 2015, the Securities and Exchange Commission (SEC) announced that on November 4, 2015 the Court entered a partial judgment…
Read MoreOn November 6, 2015, the SEC announced that it charged James Alan Craig (Craig) with a market manipulation scheme. The SEC filed…
Read MoreOn November 4, 2015, the Securities and Exchange Commission (SEC) announced it has identified three more individuals to charge in a penny…
Read MoreOn September 30, 2015 the Court approved final distribution that concluded the receivership in the SEC’s litigation against Provident Capital Indemnity, Ltd.…
Read MoreThe SEC has announced charges against Vlad Spivnak for insider trading in the stock of American Dental Partners, Inc. (ADPI), a dental practice management company. The complaint…
Read MoreThe SEC released charges on October 30, 2015 alleging that William Apostelos and his companies, WMA Enterprises, Midwest Green Resources, and OVO…
Read MoreThe SEC filed fraud charges against Diverse Financial Corporation, its CEO, Roy Dekel, and its former President David Kendell on October 28, 2015.…
Read MoreThe Securities and Exchange Commission (SEC) filed a civil action against defendants Ascenergy LLC and its CEO, Joseph Gabaldon for offering fraudulent…
Read MoreThe Securities and Exchange Commission (SEC) announced that, on October 27, 2015, the United States District Court for the District of Arizona…
Read MoreA settled civil injunctive action was filed by the Securities and Exchange Commission (SEC) against two Pennsylvania investment advisers, Kevin Brown and his…
Read MoreOn October 20, 2015, the Securities and Exchange Commission (SEC) charged John Clifford Williams with his involvement in a misappropriation scheme. The…
Read MoreThe Securities and Exchange Commission (SEC) announced on October 26, 2015 that on October 23, 2015, the United States District Court for…
Read MoreBetween January of 2000 and present, the Securities and Exchange Commission (the "SEC") has suspended or halted thousands of publicly traded companies under…
Read MoreOn October 23, 2015 the Securities and Exchange Commission (SEC) announced a settlement with a stockbroker who was previously charged with insider trading in advance…
Read MoreOn November 4, 2015, the U.S. Attorney for the Eastern District of New York announced that Darren Ofsink, a Manhattan attorney and founder…
Read MoreOn October 21, 2015 the Securities and Exchange Commission (SEC) announced that on October 9, 2015, the United States District Court for…
Read MoreThe Exchange Act requires beneficial owners of more than 5 percent of a class of equity securities of a Securities & Exchange…
Read MoreWith equity crowdfunding now legal, we can expect to see the Securities & Exchange Commission (“SEC”) keeping a close watch for unregistered…
Read MoreSecurities Lawyer 101 Blog Between January of 2000 and present, the Securities and Exchange Commission (the “SEC”) has suspended or halted thousands of…
Read MoreOn October 16, 2015, the Securities and Exchange Commission (SEC) filed fraud and other charges against Donald Lester and his private equity…
Read MoreOn October 13, 2015, the Securities and Exchange Commission (SEC) charged a hedge fund manager from Charlotte, Lonny Bernath, with defrauding investors…
Read MoreThe Securities and Exchange Commission (SEC) announced on October 9, 2015, that on October 7, 2015, it secured a summary judgment on all…
Read MoreThe 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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