SEC Seeks Enforcement Action After Reverse Merger
The Securities and Exchange Commission (SEC) filed an action to enforce compliance with document and testimony subpoenas served upon Jessica…
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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 CAUSwave and Its Principals with Fraud
On December 14, 2015 the Securities and Exchange Commission (SEC) charged a Pittsboro, North Carolina-based startup energy company and two executives with…
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SEC Files Subpoena Against President of FX & Beyond Corporation
On December 9, 2015 the Securities and Exchange Commission (SEC) obtained a court order in its subpoena enforcement action against respondent Steve Karroum…
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Robert Seibert Charged In Scheme Targeting Seniors
On December 2, 2015, the Securities and Exchange Commission (SEC) charged Robert Seibert with operating a multi-year offering fraud that targeted elderly…
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Jehu Hand Charged with Market Manipulation Scheme
The Securities and Exchange Commission (SEC) charged a California-licensed attorney and a stock promoter behind a pump-and-dump scheme that defrauded investors in…
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Court Approves Settlement Between SEC and Covenant Partners
The United States Bankruptcy Court for the Eastern District of Pennsylvania issued an order approving of the terms of a proposed settlement…
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Court Enters Summary Judgment Against Enron’s Former CEO
The Securities and Exchange Commission (SEC) obtained a summary judgment against former Enron president, COO, and CEO Jeffrey Skilling to conclude its…
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SEC Files Suit Against Promoter of ZeekRewards
On December 4, 2015 the Securities and Exchange Commission (SEC) filed suit against Trudy Gilmond for her participation in the unregistered…
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SEC Late Filers 101 – Going Public Attorneys
It’s that time of year again when companies filing reports with the Securities and Exchange Commission (“SEC”) that have a December 31st year…
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SEC Charges Hui Feng With EB-5 Offering Fraud
The SEC filed a complaint alleging that Hui Feng and his firm, Law Offices of Feng & Associates P.C., acted as unregistered…
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Court Finds Wayne Palmer Guilty in Ponzi Scheme
The Securities and Exchange Commission (SEC) won a case involving a Ponzi scheme. According to the SEC Wayne Palmer and his company National Note of…
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SEC Issues Subpoena to NetCirq LLC
On November 25, 2015, the SEC filed a subpoena enforcement action against NetCirq, LLC (“NetCirq”). According to the SEC’s application and supporting papers, the…
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Cry Me a Sater…Felix Sater & Donald Trump
In February 2015, Felix Sater proudly announced the debut of a new website. As he puts it, it “showcases [his] accomplishments,…
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Court Enters Final Judgment In Penny Stock Case
The Securities and Exchange Commission (SEC) announced that the Court entered a final judgment against Defendant Chad Smanjak on November 23, 2015…
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SEC Acquires Court Order for an Asset Freeze for Lin Zhong
The Securities and Exchange Commission (SEC) announced on November 19, 2015 that it has obtained a court order freezing the assets of…
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SEC Announces Emergency Halt on Fraudster’s Operations
On December 1, 2015 the Securities and Exchange Commission (SEC) announced the entry of a Consent Order (“Order”) halting an alleged ongoing…
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Court Enters Final Judgment Against Prima Capital Group
The Securities and Exchange Commission (SEC) announced that on September 29, 2015, a final judgment was entered against Efstratios “Elias” Argyropoulos of…
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SEC Charges Two Bitcoin Companies for Operating a Ponzi Scheme
On December 1, 2015 the Securities and Exchange Commission (SEC) charged two Bitcoin mining companies and their founder with conducting a…
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SEC Obtains Asset Freeze In EB-5 Scam
The Securities and Exchange Commission (SEC) announced an asset freeze obtained against two people in San Bernardino, California accused of defrauding Chinese…
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Court Enters Final Judgment Against Tropikgadget In Pyramid Scheme
On November 12, 2015, a federal court in Boston, Massachusetts, entered a final judgment against Tropikgadget FZE and Tropikgadget Unipessoal LDA (collectively, “Tropikgadget”) of…
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Steven Watson Charged with Insider Trading – Securities Attorneys
On November 17, 2015 the Securities and Exchange Commission charged Steven Watson with insider trading fraud, claiming he illegally profited from news of a…
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SEC Obtains Final Judgment Against EB-5 Attorneys
The Securities and Exchange Commission (SEC) announced that it has obtained final judgments against a former Los Angeles-based immigration attorney, his wife,…
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Court Enters Final Judgment Against 5 Companies and Owner
On November 12, 2015 the Securities and Exchange Commission (SEC) announced that the Court awarded summary judgment and entered a final judgment…
Read More5 Star Commercial, 5 Star Capital, and Operator Earl Miller Charged with Fraud
The Securities and Exchange Commission (SEC) announced that on November 5, 2015 an emergency enforcement action was filed in federal district court…
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SEC Charges EB-5 Offering Attorneys – Securities Lawyer 101
On December 7, 2015 the Securities and Exchange Commission (SEC) announced a series of enforcement actions against lawyers across the country charged with offering…
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Zhichen Zhou and Yannan Liu Charged with Insider Trading
On November 10, 2015 the Securities and Exchange Commission (SEC) announced insider trading charges and an emergency asset freeze against cousins Zhichen Zhou…
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Judgment Entered Against James Louks and FiberPop Solutions
On November 9, 2015, the Securities and Exchange Commission (SEC) announced that on November 4, 2015 the Court entered a partial judgment…
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SEC Complaint Charges For Phony Muddy Waters Tweets
On November 6, 2015, the SEC announced that it charged James Alan Craig (Craig) with a market manipulation scheme. The SEC filed…
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SEC Identifies Three More to Charge in Penny Stock Case
On November 4, 2015, the Securities and Exchange Commission (SEC) announced it has identified three more individuals to charge in a penny…
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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.…
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/