Court Approves Insurance Company’s Final Distribution
On September 30, 2015 the Court approved final distribution that concluded the receivership in the SEC’s litigation against Provident Capital Indemnity, Ltd.…
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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
Vlad Spivnak Charged with Insider Trading
The SEC has announced charges against Vlad Spivnak for insider trading in the stock of American Dental Partners, Inc. (ADPI), a dental practice management company. The complaint…
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William Apostelos and His Companies Charged with Fraud
The SEC released charges on October 30, 2015 alleging that William Apostelos and his companies, WMA Enterprises, Midwest Green Resources, and OVO…
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Diverse Financial and Principals Charged with Fraud
The SEC filed fraud charges against Diverse Financial Corporation, its CEO, Roy Dekel, and its former President David Kendell on October 28, 2015.…
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SEC Obtains Asset Freeze Over Joseph Gabalon
The Securities and Exchange Commission (SEC) filed a civil action against defendants Ascenergy LLC and its CEO, Joseph Gabaldon for offering fraudulent…
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Rebecca Norton Insider Trading Settlement Approved
The Securities and Exchange Commission (SEC) announced that, on October 27, 2015, the United States District Court for the District of Arizona…
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Brown Investment Advisors Charged with Operating Three Offering Frauds
A settled civil injunctive action was filed by the Securities and Exchange Commission (SEC) against two Pennsylvania investment advisers, Kevin Brown and his…
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John Williams Charged with Conducting Misappropriation Scheme and Offering Fraud
On October 20, 2015, the Securities and Exchange Commission (SEC) charged John Clifford Williams with his involvement in a misappropriation scheme. The…
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Court Reaches Final Judgement of Disgorgement and Civil Penalties Against Stock Fraudsters
The Securities and Exchange Commission (SEC) announced on October 26, 2015 that on October 23, 2015, the United States District Court for…
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Why Operation Shell Expel Gets an F
Between January of 2000 and present, the Securities and Exchange Commission (the "SEC") has suspended or halted thousands of publicly traded companies under…
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Settlement Reached in Vladimir Eydelman Insider Trading Case
On October 23, 2015 the Securities and Exchange Commission (SEC) announced a settlement with a stockbroker who was previously charged with insider trading in advance…
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Darren Ofsink Indicted – Securities Lawyers Gone Wild
On November 4, 2015, the U.S. Attorney for the Eastern District of New York announced that Darren Ofsink, a Manhattan attorney and founder…
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Default Judgment Grants Full Relief Against Premiere Power and Its Chairman in Offering Fraud
On October 21, 2015 the Securities and Exchange Commission (SEC) announced that on October 9, 2015, the United States District Court for…
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Schedule 13D and 13G Filing Requirements Securities Lawyer 101 Q&A
The Exchange Act requires beneficial owners of more than 5 percent of a class of equity securities of a Securities & Exchange…
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Keeping A Close Watch On Equity Crowdfunding
With equity crowdfunding now legal, we can expect to see the Securities & Exchange Commission (“SEC”) keeping a close watch for unregistered…
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What Is Wrong With Buying a Shell To Go Public?
Securities Lawyer 101 Blog Between January of 2000 and present, the Securities and Exchange Commission (the “SEC”) has suspended or halted thousands of…
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Donald Lester and His Private Firm Charged with Fraud
On October 16, 2015, the Securities and Exchange Commission (SEC) filed fraud and other charges against Donald Lester and his private equity…
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Hedge Fund Manager Lonny Bernath Charged with Fraud
On October 13, 2015, the Securities and Exchange Commission (SEC) charged a hedge fund manager from Charlotte, Lonny Bernath, with defrauding investors…
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SEC Obtains Summary Judgment Against Andrew Farmer in Pump-And-Dump Scheme
The Securities and Exchange Commission (SEC) announced on October 9, 2015, that on October 7, 2015, it secured a summary judgment on all…
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SEC Charges Nicolas Zanen and His Friend with Insider Trading
The Securities and Exchange Commission (SEC) announced on October 9, 2015 that it has charged Nicolas Zanen, Vice President of Trading at a…
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Equity Crowdfunding Approved – Going Public Attorney
Equity Crowdfunding was adopted pursuant to Title III of the Jumpstart Our Business Act (JOBS Act). The rule allows companies to raise…
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SEC Issues Trading Suspension of Locan & American Power Corp
On October 30, 2015, the U.S. Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of American…
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What Disclosure Is Required By Rule 15c2-11?
Rule 15c2-11 under the Securities and Exchange Act of 1934 (Exchange Act) governs the submission and publication of quotations by brokers and…
Read MoreSEC 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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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…
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/