Whistleblower Frequently Asked Questions
The Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of 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.
Latest Blog Posts
Reverse Stock Splits by Nasdaq and NYSE Issuers
Public Companies whose securities are listed on the New York Stock Exchange (NYSE) and Nasdaq Stock Market (NASDAQ), particularly the NASDAQ Capital…
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SEC Settles with Morningview Financial, LLC and Its Managing Member, Miles M. Riccio, Alleged to Have Acted as Unregistered Dealers
On December 23, 2024, the United States District Court for the Southern District of New York entered final judgments on consent against…
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SEC Enforcement Actions and Regulatory Evolution 2019–2025
A Comprehensive Review of Trends, Cases, and Compliance Takeaways Prepared by Hamilton & Associates Law Group, P.A. — Securities Lawyer 101. This…
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Pink Current will become OTCID on July 1, 2025
Over the past 25 years, the OTC Markets Group (OTCQX: OTCM) has made many changes to modernize the OTC Markets platform. This…
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What Are American Depositary Receipts (“ADRs”)?
Many foreign companies use American Depositary Receipts (“ADRs”) as a means of going public to raise capital or establish a trading presence…
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Philip Verges Indicted for Manipulating Five Publicly Traded Companies and Defrauding Investors of Over $200M
On December 10, 2024, a federal grand jury in Dallas, Texas, returned an indictment charging a Texas businessman for his role in…
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Foreign Private Issuer Periodic Reporting on Form 20-F and Form 6-K
After a foreign private issuer has completed its going public transaction by completing an offering registered under the Securities Act of 1933,…
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Clinton Greyling Sentenced for Role in Unregistered Broker Scheme
Published: January 6, 2025 On December 11, 2024, Clinton Greyling, 50, of Tamarac, Fla., was sentenced by U.S. District Court Judge Richard…
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SEC says John Clayton, owner of Standard Registrar and Transfer Co, secretly acquired and dumped millions of shares of microcap stocks.
On December 11, 2024, the Securities and Exchange Commission (the “SEC“) filed a complaint in the United States District Court for the…
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Court of Appeals partially Rules in Favor of Alpine Securities but Alpine not out of the woods yet
On November 22, 2024, the United States Court of Appeals for the District of Columbia Circuit in Washington, D.C., made its ruling…
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What to Expect When You’re Expeccting – Trump’s SEC
Market participants are speculating about the new Trump deregulation agenda and how it will impact the SEC. With Republicans in control of…
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The SEC Announces Enforcement Results for Fiscal Year 2024
On November 22, 2024, the Securities and Exchange Commission announced that it filed 583 total enforcement actions in fiscal year 2024 while…
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SEC brings charges against BIT Mining Ltd, Azure Power Global Ltd and Adani Green Energy Ltd in alleged massive bribery schemes
This week, the Securities and Exchange Commission (the “SEC“) brought charges in three separate alleged massive bribery schemes. In action #1, brought…
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The SEC’s Amended “Dealer” Definition for Toxic Lenders
In the past five years or so, we’ve written many times about “toxic lenders”. These toxic lenders have been active since the…
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SEC Charges Olayinka Oyebola and His Accounting Firm With Aiding and Abetting Massive TINGO Fraud
On September 30, 2024, the Securities and Exchange Commission (the “SEC“) charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting…
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Securities Attorney Matthew C McMurdo suspended by the SEC
On September 20, 2024, the Securities and Exchange Commission (the “SEC” or “Commission”) issued an Administrative Order against securities attorney Matthew C.…
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SEC Charges Multiple Individuals and Entities in Relationship Investment Scams
On September 17, 2024, the Securities and Exchange Commission (the “SEC“) charged five entities and three individuals in connection with two relationship…
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Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action
In his dissent, Uyeda seems to accept the generally accepted description of variable-rate convertible notes as "toxic" and "death spiral" financings that…
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Mullen Automotive (MULN): What to Do About Serial Reverse Splitters
At noon on September 13, 2024—Friday the 13th—Mullen Automotive (MULN) announced a 1:100 reverse stock split to become effective on September 17…
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SEC Charges Seven NASDAQ Listed Public Companies with Violations of Whistleblower Protection Rule
On September 9, 2024, the Securities and Exchange Commission (the “SEC”) announced settled charges against seven public companies for using employment, separation,…
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Are SEC Whistleblower Awards the Road to Riches or a Waste of Time?
On August 23, 2024, the Securities and Exchange Commission (“SEC”) announced It had awarded a total of $98 million to two SEC…
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Court Vacates Order in Unregistered Dealer, Crown Bridge Partners Case
On August 19, 2024, the United States Court of Appeals for the Second District in New York ruled in the case of…
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SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports
On August 12, 2024, the Securities and Exchange Commission (“SEC“) announced charges against OTC Link LLC, a New York-based broker-dealer, for failing…
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Cassava Sciences (SAVA) Faces an Indictment and at Least Two Investigations
Cassava Sciences (SAVA) is a Nasdaq issuer that claims to have developed a treatment for Alzheimer’s disease; the product is currently in…
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Meta Materials (MMAT) Declares Chapter 7 Bankruptcy
On Friday, August 9, 2024, Meta Materials Inc. (MMAT) filed for Chapter 7 bankruptcy. This turn of events was reported only in…
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SEC Charges Ideanomics, its former Chairman and CEO, Zheng (Bruno) Wu, current CEO, Alfred Poor, and former CFO, Federico Tovar with Accounting and Disclosure Fraud
On August 9, 2024, the Securities and Exchange Commission (“SEC“) announced settled fraud charges against Ideanomics, Inc., formerly known as Seven Stars…
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SEC Awards Whistleblower a Bounty of More Than $37 Million
On July 26, 2024, the Securities and Exchange Commission (SEC) announced an award of more than $37 million to a whistleblower whose…
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OTC Markets Group Guidance on Dilution Risk with Respect to OTCQX and OTCQB Applicants
OTC Markets offers three unique marketplaces for trading over-the-counter (OTC) stocks: the OTC Pink Market, the OTCQB Market and the OTCQX Market.…
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Attorney Mark Basile to Participate in Federal Enforcement Action SEC v. Carebourn Capital L.P. and Chip Alvin Rice
Over the past seven years or so, we’ve followed the Securities and Exchange Commission’s efforts to rein in the excesses of predatory…
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/