SEC Charges Robert Acri – Chicago Securities Attorney
On June 12, 2014, the Securities and Exchange Commission (the “SEC”) charged a securities attorney and founder of an investment advisory…
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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 Reverse Merger Purveyors By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 5, 2014, the Securities and Exchange Commission (the “SEC”) charged a Toronto-based consultant and four associates…
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Fugitive Fraudster Aubrey Price Pleads Guilty
Posted by Brenda Hamilton Securities Attorney On June 5, 2014, fugitive banker Aubrey Price plead guilty to bank, securities and wire…
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$875,000 Awarded to SEC Whistleblower By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog This week the Securities and Exchange Commission (the “SEC”) announced a whistleblower award of more than $875,000 to be…
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Unregistered Broker-Dealer Activity on the Rise By: Brenda Hamilton
The Securities and Exchange Commission (“SEC”) Division of Enforcement is pursuing unregistered broker-dealer activity which runs rampant in the penny stock markets. …
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SEC Charges John Bensen & DGSE Companies By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 27, 2014, the Securities and Exchange Commission (“SEC”) announced accounting fraud charges against a Dallas-based company…
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Gendarme & Ezat Rahimi Settle SEC Charges
Settlements have been approved resolving claims by the Securities and Exchange Commission against Gendarme Capital Corporation, its former principal, Ezat Rahimi, and…
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SEC Obtains Judgment Against Inofin Management By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 28, 2014, the Securities and Exchange Commission ( “SEC”) announced that the U.S. District Court for the…
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SEC Charges Transfer Agent, IST Shareholder Services By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 28, 2014, the SEC announced fraud charges and an emergency asset freeze against IST Shareholder Services, a…
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SEC Charges Neal V. Goyal in Ponzi Scheme By: Brenda Hamilton Attorney
Securities Lawyer Blog On May 28, 2014, the Securities and Exchange Commission (“SEC”) obtained a court order freezing assets and halting a…
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SEC Settles Charges in We the People Charity Fraud Case By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog May 29, 2014, the Securities and Exchange Commission announced that a Florida husband and wife were charged last…
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SEC Charges Steven McCraw By: Brenda Hamilton Florida Attorney
Securities Lawyer 101 Blog On May 30, 2014, the Securities and Exchange Commission filed charges against Steven McCraw for aiding and abetting…
Read MoreSEC Charges Jeffrey Berkowitz & Others By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 24, 2014, the Securities and Exchange Commission announced the latest in a series of cases against…
Read MoreSEC Suspends Andalusian Resorts By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k) of…
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SEC Charges Four Pension Officials for Regulation SHO Violations
Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (“SEC”) announced charges against four former officials at clearing…
Read MoreSEC Suspends Pingify – PGFY – By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 14, 2014, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension, pursuant to Section…
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SEC Charges Couch Oil & Gas in $10 Million Scheme
Securities Lawyer 101 Blog On May 12, 2014, the Securities and Exchange Commission (the “SEC”) filed suit in United States District Court…
Read MoreTelexfree Principal Becomes Fugitive By: Brenda Hamilton Attorney, Boca Raton Florida
Securities Lawyer 101 Blog On Friday, May 9, 2014, the U.S. Attorney for the District of Massachusetts charged James M. Merrill and…
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Astrologer Stock Broker, Gurudeo Persaud, Barred by SEC
Securities Lawyer 101 Blog On May 9, 2014, the Securities and Exchange Commission (“Commission”) announced that public administrative proceedings were instituted pursuant…
Read MoreWhat Causes An SEC Investigation? Securities Lawyer 101
Securities and Exchange Commission (the “SEC”) investigations can result from a variety of factors. SEC investigations can be triggered in various ways,…
Read MoreSEC Issues Trading Suspension of IMDS By: Brenda Hamilton Attorney
On May 8, 2014, the Securities and Exchange Commission (“Commission”) deems it necessary and appropriate for the protection of investors that public…
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SEC Suspends Cannabusiness Group – By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 7, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k)…
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The Laws That Apply to Going Public & Being A Public Company
A private company going public is subject to three federal securities laws, each with its own unique requirements. The three laws are…
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SEC Charges Toronto Consultant and Four Others in China Reverse Merger Schemes
Securities Lawyer 101 Blog On May 5, 2014, the Securities and Exchange Commission charged a Toronto-based consultant and four associates with conducting…
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Securities Lawyers Gone Wild l Allen Ross Smith Charged
Securities Lawyer 101 Blog On May 2, 2014, the Securities and Exchange Commission (“SEC”) charged Florida lawyer Allen Ross Smith with fraud…
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OTC Pink Current Q & A l By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog Companies quoted with the OTC Pink tier are assigned to one of three tiers by the OTCMarkets based…
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FINRA Members to Investigate FINRA U-4 Applicants
Securities Lawyer 101 Blog FINRA approved new rules that require member firms to verify the accuracy of information provided by applicants on FINRA…
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SEC Charges Barry Bekkedam In Connection with Banyon Fund – By: Brenda Hamilton
The Securities and Exchange Commission (the “SEC”) has filed securities fraud charges against Barry Bekkedam of Hobe Sound, Florida. Bekkedam is the…
Read MoreSecurities Lawyers Gone Wild l Three-Time Felon & Lawyer Indicted
Securities Lawyer 101 Blog On April 6, 2014, Texas attorney Richard Plato was indicted for mail fraud and securities fraud. Plato is…
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Fund Manager Brian Callahan Pleads Guilty In $96 Million Ponzi Scheme
On April 29, 2014, Brian Callahan pleaded guilty to one count of securities fraud and one count of wire fraud for operating…
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/