SEC Charges Indiana Man In Ponzi Scheme
Securities Lawyer 101 Blog Marcum, of Noblesville, Indiana, is the principal of Guaranty Reserves Trust, and was once a broker. He’s also…
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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 Free Rider Ronald Feldstein With Fraud
On September 3, 2013, the Securities and Exchange Commission (“SEC”) filed a fraud complaint in Federal District Court for the Southern District…
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California Man Sentenced to 64 Months For Securities Fraud
On 22 August 2013, Douglas Hollingsworth of Santa Rosa, California was sentenced to 64 months in prison for defrauding investors of…
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How Did the JOBS Act Change Form D? Going Public
Securities Lawyer 101 Blog On July 10, 2013, the SEC adopted final rules as required by Title II of the JOBS Act,…
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SEC Rewards Dodd-Frank Whistleblowers
On August 30, 2013, the Securities and Exchange Commission (the “SEC”) announced that it had awarded three whistleblowers for tips and information they…
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What is a Rule 506 Bad Actor Ban?
Securities Lawyer 101 Blog Companies seeking to raise capital through the sale of securities must either register the securities offering with the…
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Broker Accidentally Cold Calls State Securities Regulator
Securities Lawyer 101 Blog On August 28, 2013, the Arkansas Securities Department published a Consent Order by the terms of which Junmo…
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Anti-Fraud Provisions Apply To Reverse Merger and Public Float Schemes
Securities Lawyer 101 Blog When companies go public through reverse merger transactions, insiders often employ various mechanisms to obtain not only control…
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Going Public Law
Securities Lawyer 101 Blog A private company going public is subject to three federal securities laws, each with its own unique requirements. …
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How Does a Company Bring SEC Filings Current?
The Securities Exchange Act of 1934 (the “Exchange Act”) imposes ongoing disclosure obligations that include an obligation to file periodic reports on Form…
Read MoreSEC Obtains Judgment Against Jonathan Gilchrist
On August 15, 2013, the SEC obtained a summary judgment against Jonathan Gilchrist for violation of the antifraud and registration provisions of the…
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SEC Shuts Down John Marcum, Ponzi Scheme Targeting Retirees
Securities Lawyer 101 Blog On August 26, 2013, the Securities and Exchange Commission (the “SEC”) charged John K. Marcum with defrauding investors in a Ponzi…
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DTCC Identifies Cyber-Attacks as Most Significant Risk to Financial Markets
Securities Lawyer 101 Blog On August 7, Depository Trust & Clearing Corporation (DTCC) released a report identifying threats to the stability of the financial markets. DTCC considers cyber-attacks…
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Ask Securities Lawyer 101 l Rule 504 Q & A
Q. How Much Money Can I Raise In A Rule 504 Offering? A. The aggregate amount raised for an offering of securities…
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OTC Markets OTC Pink Listings l OTC Pink Lawyers
Securities Law Blog A private company seeking to go public can obtain a stock ticker or trading symbol assignment from the Financial…
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SEC Issues Stop Order For Registered Offering
Securities Lawyer 101 Blog The Securities and Exchange Commission (the “SEC”) issued an order to stop an initial public offering (IPO) by Counseling…
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SEC Prevents Corporate Hijackings By Suspending Zombie Tickers
Securities Lawyer 101 Blog On June 24, 2013, the Securities and Exchange Commission (“SEC”) instituted administrative proceedings to prevent corporate hijackings. The…
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Three Indicted In Precious Metals Scam
Securities Lawyer 101 Blog Manhattan District Attorney’s office has indicted Sean Robert Stropp , a/k/a “John Goldman,” a/k/a “Sean Roberts,” Karl Spicer and Ricardo…
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Penny Stock Fugitive Gregory Curry Arrested in Prachin Buri
Securities Lawyer 101 Blog On August 19, 2013, the Federal Bureau of Investigation circulated a new Wanted by the FBI poster to…
Read MorePenny Stock Fugitive Sandy Winick Arrested in Bangkok
Securities Lawyer 101 Blog On August 19, 2013, the Federal Bureau of Investigation circulated a new Wanted by the FBI poster to announce…
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Additional Charges and Convictions in Kickback Schemes
Securities Lawyer 101 Blog On August 13, 2013, John Jordan, former chief executive of Vida Life International Ltd., a public company that…
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Nine Individuals Indicted In Penny Stock Sting
Securities Lawyer 101 Blog On August 14, 2013, the U.S. Attorney’s Office for the Southern District of Florida announced that six individuals…
Read MoreColt Curry Indicted in Securities Scheme
Securities Lawyer 101 Blog On August 13, 2013, the U.S. Attorney’s Office for the Eastern District of New York announced the indictment…
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Securities Attorney Martin Weisberg Sentenced in Securities Fraud and Money Laundering Case
Securities Lawyer 101 Blog On August 8, 2013, securities attorney Martin Weisberg, a former partner at Baker & McKenzie LLP, was sentenced to…
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FINRA Alerts Investors to Cold Calls From Brokerage Firm Impostors
Securities Lawyer 101 Blog FINRA’s Warning On August 6, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an alert warning investors that…
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SEC Short Sale Alert l Trading to Conceal Failures to Deliver
Securities Lawyer 101 Blog On August 9, 2013, the SEC‘s Office of Compliance Inspections and Examinations issued a Risk Alert concerning certain trading…
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Corporate Hijackings In Going Public Transactions
Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies have been a problem for more…
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SEC Halts Market Action Advisers Hedge Fund l Securities Lawyer 101
On August 6, 2013, the Securities and Exchange Commission (the “SEC”) obtained an emergency court order to halt a hedge fund investment scheme…
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OTC Pink Sheets l OTC Pink Market Lawyers
Securities Lawyer 101 Blog Getting Listed on the OTC Pink Sheets Many companies going public for the first time are opting for…
Read MoreRobert Zickefoose Indicted in Colorado Oil and Gas Fraud
Securities Lawyer 101 Blog On July 15, 2013, Colorado Attorney General John Suthers announced that a grand jury had indicted Robert Zickefoose…
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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.
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https://www.finra.org/JOBS Act 101
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