Five Florida Residents Charged by the SEC With Insider Trading
The Securities and Exchange Commission (SEC) on September 28, 2015 charged five Florida residents, including a lawyer and an accountant with insider trading before the…
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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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SEC Charges Roger Bliss With Obstruction of Justice
The Securities and Exchange Commission (SEC) announced on September 2, 2015 that an alleged investment club fraudster whose assets were frozen in an…
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Spongetech Update – SEC Enforcement Attorneys
On May 5, 2010, the U.S. Securities and Exchange Commission (“SEC”) brought an action against Spongetech Delivery Systems, Inc. (“SPNG”), including CEO…
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Publicly Traded Companies Filing Requirements – Going Public Attorneys
Companies going public become subject to the SEC’s periodic reporting requirements a number of ways including by filing a registration under the…
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SEC Charges Trinity Capital Corporation with Fraud
The Securities and Exchange Commission (SEC) announced on September 28, 2015 that Trinity Capital Corporation and its wholly-owned subsidiary, Los Alamos National…
Read MoreSEC Charges Oil and Gas Company and Boiler Room Operator, Commodore Financial Corporation, CEO Christopher Schlegel, M&G Cap Services, and Andres Calvo
The Securities and Exchange Commission (SEC) announced on October 1, 2015 fraud charges against an Orange County, Calif. oil and gas company,…
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EPermaPave Industries Is A Ponzi Scheme – Brenda Hamilton Attorney
-Posted by Brenda Hamilton- The Securities and Exchange Commission (SEC) announced on September 2, 2015 that U.S. District Court Judge Jed S.…
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Going Public With A DPO – Going Public Securities Attorneys
One of the most efficient and cost effective ways to achieve public company status is by using a Direct Public Offering. The…
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SEC Charges Eldrick Woodley with Embezzlement of Client Funds
The Securities and Exchange Commission (SEC) on September 22, 1015, filed fraud charges against Eldrick Woodley, a Houston-based investment advisor, for the embezzlement…
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SEC Charges Hitachi, LTD. With Violation of FCPA
The Securities and Exchange Commission (SEC) on September 28, 2015 charged Tokyo-based conglomerate Hitachi, Ltd. with violating the Foreign Corrupt Practices Act…
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SEC Files Charges Against Ralph Pirtle and Morando Berrettini for Insider Trading
The Securities and Exchange Commission (SEC) announced on September 25, 2015 that on September 24, 2015, a jury in federal district court…
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SEC Charges GenAudio and CEO With Fraudulent Stock Offerings
The Securities and Exchange Commission (SEC) filed a civil injunctive action on September 25, 2015, in the United States District Court for…
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SEC Charges Six in Securities Fraud Scheme
On September 24, 2015 the Securities and Exchange Commission (SEC) charged six men, including a father and three sons, with securities fraud…
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$32 Million Amber Mining Pyramid Scheme Halted by the SEC
On October 1, 2015, the Securities and Exchange Commission (“SEC”) announced it had frozen the assets and filed fraud charges against the…
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FINRA Expels Halcyon Cabot Partners
The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael…
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SEC Settles Aiding and Abetting Charges Against Joseph Apuzzo
On September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph…
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Anthony Knight Barred, Enjoined, and Fined for Unregistered Securities
On Thursday, September 3, 2015, United States District Court Judge Denis R. Hurley of the United States District Court for the Eastern…
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Consultant Charged With Insider Trading
On September 23, 2015, the Securities and Exchange Commission (SEC) charged a consultant and his friend with insider trading in the options…
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SEC Announces New Resource – Going Public Attorneys
Posted By the Going Public Attorneys On September 24, 2015, the Securities & Exchange Commission (SEC) announced a new resource on its…
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Former Fannie Mae Executives Resolve Subprime and Reduced Documentation Disclosure Case with SEC
The Securities and Exchange Commission (SEC) announced on September 22, 2015 that the Honorable Paul A. Crotty of the United States District…
Read MoreSEC v. Two Men Who Defrauded Investors
On September 21, 2015 the Securities and Exchange Commission (SEC) charged two men behind a scheme that defrauded investors in YaFarm Technologies…
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SEC Charges Penny Stock Company and CEO with Fraud and Issuing a False Press Release
On September 15, 2015, the Securities and Exchange Commission (SEC) charged a microcap issuer, The Mobile Star Corporation, and its CEO…
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SEC Obtains Final Judgement Against Julio Cruz for Targeting Latino Communities with Pyramid Scheme
On September 17, 2015, the Securities and Exchange Commission (SEC) announced that on September 16, 2015, the federal court in Boston, Massachusetts,…
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James Meagher Enjoined in Penny Stock Case
The Securities and Exchange Commission (SEC) announced on September 16, 2015 that Chief Judge Gregory M. Sleet of the United States District…
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SEC Charges Robert Milligan With Securities Fraud
The Securities and Exchange Commission (SEC) announced on September 18, 2015 charges against Robert DeWayne Milligan, who was president of a California-based…
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Eric McPhail Sentenced in Insider Trading Action
The Securities and Exchange Commission (SEC) announced that, on September 18, 2015, Eric McPhail was sentenced to 18 months in prison and…
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SEC Order Imposes Fine On Ditto Holdings For $3.7 Million Unlawful Offering
On September 8, 2015, the Securities and Exchange Commission (“SEC”) initiated public cease-and-desist proceedings pursuant to Section 8A of the Securities Act…
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SEC Charges Florida Based CPA For Bogus Audit Opinions
On September 17, 2015 the SEC imposed sanctions against a Florida based CPA for producing deficient and fraudulent audits and quarterly…
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U3 Halt of SWK Holdings Explained by FINRA, and Lifted Quickly
We recently wrote about a bungled dividend distribution made by Calissio Resources Group, Inc. (CRGP) that resulted in the imposition of a…
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FINRA’s Disclosure Requirements In EB-5 Offerings
FINRA Rule 2040 became effective late last month and has the potential to provide increased transparency in EB-5 Offerings. Rule 2040 requires broker-dealers who…
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.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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