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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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 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…
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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…
Read MoreSEC 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…
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
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://ppe.securitieslawyer101.com/blog/Securities & Exchange Commission
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
https://ppe.securitieslawyer101.com/securities-law-video-series/