Securities Lawyer Blog l Going Public Blog

SEC Charges Bradley Moynes and Digatrade Financial Corp in Fraudulent Microcap Scheme

July 4, 2022

SEC Charges Empires Consulting Corp and its founders, Emerson Sousa Pires and Flavio Mendes Goncalves, and head trader, Joshua David Nicholas, with Fake Trading Scheme

July 1, 2022

SEC Sues LG Capital Funding and Its Managing Member, Joseph Lerman, for Acting as Unregistered Securities Dealers

June 15, 2022

SEC Charges Trends Investments Inc., Clinton Greyling and Leslie Greyling

June 10, 2022

In Jarkesy v. Securities and Exchange Commission, the US Court of Appeals for the Fifth Circuit held that the Securities and Exchange Commission’s (SEC) adjudication of fraud cases in administrative proceedings is unconstitutional

June 4, 2022

Court Denies Carebourn Capital’s Motion for Judgement on the Pleadings in SEC Case

May 29, 2022

PCAOB Sanctions Former BF Borgers Audit Director Bo-Shiang (“Eric”) Lien

May 25, 2022

SEC obtains asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. Lachow

May 19, 2022

OTCQX Markets Foreign Issuer Dual Listings – OTCQX Eligibility, Listing, Quotation

May 16, 2022

SEC Obtains Final Judgment Ordering Frederick Sharp to Pay $52,925,214

May 15, 2022

Attorneys Gone Wild: Shawn Hackman, Elaine A. Dowling, and Harold P. Gewerter

May 9, 2022

SEC Files Charges Against Michael Forster

May 8, 2022

OTC Markets Listing and Quotation – OTCQB Requirements

April 28, 2022

SEC Charges Sung Kook (Bill) Hwang and Archegos Capital Management

April 27, 2022

Resales of Restricted Securities By Non-Affiliates

April 26, 2022

SEC Charges 15 Individuals in a $194 Million International Penny Stock Fraud

April 18, 2022

What Is the OTC Markets Expert Market? Securities Lawyer Blog

April 13, 2022

Quotes of securities in the Expert Market are “Unsolicited Only,” which means that trades of securities subject to unsolicited quotation in the Expert…

SEC Charges Anthony Salandra in Market Manipulation Scheme

April 11, 2022

SEC Obtains Final Judgments from Chrysilios Chrysiliou and Panagiotis Bolovis for Their Roles in $45 Million Fraudulent Scheme

April 7, 2022

Old School Ties: Donald Trump Sues Hillary Clinton and Many of Her “Cohorts”

March 28, 2022

FINRA Extended Hearing Panel Expels Alpine Securities and Orders $2.3 Million in Restitution

March 27, 2022

Undercover Sting Takes Down Francis Biller, Raymond Dove, and Chester Alvarez in Boiler Room Scheme

March 20, 2022

Attorney Andrew Coldicutt faces SEC charges after getting caught in an FBI sting

March 2, 2022

SEC Obtains Final Judgment Against Former Pharmaceutical Company CEO Martin Shkreli

March 1, 2022

SEC Charges Michael M Beck (aka BigMoneyMike) with Penny Stock Fraud

February 20, 2022

SEC Proposes Faster Trade Settlement Times

February 12, 2022

SEC Wins Summary Judgment Against Unregistered Penny Stock Dealer Justin W Keener

January 30, 2022

Paul Pelosi Jr’s Adventures in Pennyland

January 21, 2022

SEC Charges Bradley Moynes and Digatrade Financial Corp in Fraudulent Microcap Scheme

SEC Charges Empires Consulting Corp and its founders, Emerson Sousa Pires and Flavio Mendes Goncalves, and head trader, Joshua David Nicholas, with Fake Trading Scheme

SEC Sues LG Capital Funding and Its Managing Member, Joseph Lerman, for Acting as Unregistered Securities Dealers

SEC Charges Trends Investments Inc., Clinton Greyling and Leslie Greyling

In Jarkesy v. Securities and Exchange Commission, the US Court of Appeals for the Fifth Circuit held that the Securities and Exchange Commission’s (SEC) adjudication of fraud cases in administrative proceedings is unconstitutional

Court Denies Carebourn Capital’s Motion for Judgement on the Pleadings in SEC Case

PCAOB Sanctions Former BF Borgers Audit Director Bo-Shiang (“Eric”) Lien

SEC obtains asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. Lachow

OTCQX Markets Foreign Issuer Dual Listings – OTCQX Eligibility, Listing, Quotation

SEC Obtains Final Judgment Ordering Frederick Sharp to Pay $52,925,214

Attorneys Gone Wild: Shawn Hackman, Elaine A. Dowling, and Harold P. Gewerter

SEC Files Charges Against Michael Forster

OTC Markets Listing and Quotation – OTCQB Requirements

SEC Charges Sung Kook (Bill) Hwang and Archegos Capital Management

Resales of Restricted Securities By Non-Affiliates

SEC Charges 15 Individuals in a $194 Million International Penny Stock Fraud

What Is the OTC Markets Expert Market? Securities Lawyer Blog

SEC Charges Anthony Salandra in Market Manipulation Scheme

SEC Obtains Final Judgments from Chrysilios Chrysiliou and Panagiotis Bolovis for Their Roles in $45 Million Fraudulent Scheme

Old School Ties: Donald Trump Sues Hillary Clinton and Many of Her “Cohorts”

FINRA Extended Hearing Panel Expels Alpine Securities and Orders $2.3 Million in Restitution

Undercover Sting Takes Down Francis Biller, Raymond Dove, and Chester Alvarez in Boiler Room Scheme

Attorney Andrew Coldicutt faces SEC charges after getting caught in an FBI sting

SEC Obtains Final Judgment Against Former Pharmaceutical Company CEO Martin Shkreli

SEC Charges Michael M Beck (aka BigMoneyMike) with Penny Stock Fraud

SEC Proposes Faster Trade Settlement Times

SEC Wins Summary Judgment Against Unregistered Penny Stock Dealer Justin W Keener

Paul Pelosi Jr’s Adventures in Pennyland

SEC Charges Securities Fraud Recidivist Phillip W. Offill, Jr. and Justin W. Herman in Penny Stock Fraud Scheme

Christopher R. Esposito Charged with Securities Fraud