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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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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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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FINRA Fines Oppenheimer $1.4 Million for Sale of Unregistered Penny Stocks
Securities Lawyer 101 Blog On August 5, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined Oppenheimer and Co., Inc.…
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Form S-1 Registration Statement Attorneys
Securities Lawyer 101 Blog Many private companies file a registration statement filing with the SEC in connection with their going public transaction. The most commonly…
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The SEC Charges Diane Dalmy, and Others in Pump and Dump Scheme
Securities Lawyer 101 Blog Securities Lawyers Gone Wild Series On July 31, 2013, the Securities and Exchange Commission (“SEC”) brought an enforcement…
Read MoreFINRA Investigates Trading Algorithms
The Financial Industry Regulatory Authority (“FINRA”) is investigating Trading Algorithms and whether trading firms that engage in high frequency trading have proper controls in…
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SEC Amends Financial Responsibility Rules for Broker-Dealers
On July 31, 2013, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments to the net capital, customer protection, books and records,…
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More Paperwork for Broker-Dealers l Securities Lawyer 101
Securities Lawyer 101 Blog On July 31, 20113, the Securities and Exchange Commission (the “SEC”) announced the adoption of rules created to increase safeguards for…
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A New Crowdfunding Watchdog in Massachusetts
Securities Lawyer 101 Blog Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the…
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FINRA Red Flags l Securities Lawyer 101 Blog
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) recently identified certain red flags in connection with a disciplinary action against Gar Wood Securities…
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SEC Charges Investor Relations Provider With Insider Trading
Securities Lawyer 101 Blog On July 26, 2013, the Securities and Exchange Commission (the “SEC”) charged Stephen B. Gray, an investor relations provider with…
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SEC Settles Charges For Registration Violations in Unregistered Securities
Securities Lawyer 101 Blog On July 23, 2013, the Securities and Exchange Commission (the “SEC”) settled charges against Florida resident Jorge Bravo, Jr.,…
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Securities Violator Patrick Kiley Sentenced to 20 Years in Prison
Securities Lawyer 101 Blog On July 15, 2013, Patrick Kiley was sentenced to 20 years in prison and ordered to pay $155 million…
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