Sarbanes-Oxley Archives

Reverse Merger to Go Public: Legal & Regulatory Risks

December 1, 2025

A reverse merger can be a viable path for a private company to gain a public listing, offering speed, cost efficiency, and…

Andrew Left of Citron Research Indicted by the DOJ and Charged by the SEC

July 29, 2024

Important Changes Are in Store for the SEC and Other Federal Agencies

July 3, 2024

Court denies James L. Koutoulas’ petition to quash SEC subpoena

June 13, 2024

SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures

December 6, 2020

On Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…

SEC Charges Florida Cash Advance Company, Former CEO Carl Ruderman With Defrauding Retail Investors

September 21, 2018

SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray

August 27, 2018

SEC Charges Credit Suisse With FCPA Violations

August 26, 2018

SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies

August 25, 2018

SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records

August 24, 2018

SEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes

August 22, 2018

SEC Charges Cloud Communications Company and Senior Executives Mark Greenquist And Michael Swade With Misleading Revenue Projections

August 11, 2018

SEC Charges U.S. Congressman Christopher Collins and Others With Insider Trading

August 9, 2018

SEC Charges William McFarland and Others With $27.4 Million Offering Fraud

August 1, 2018

SEC Charges Howard Appel in Stock Manipulation Scheme

July 31, 2018

Yao Li Settles Insider Trading Charges

July 31, 2018

SEC Charges John Paulsen for Aiding & Abetting Pay-To-Play Scheme

July 30, 2018

Supreme Court Says SEC ALJ Appointments Are Unconstitutional

July 2, 2018

$102 Million Ponzi Scheme Charged By SEC

July 2, 2018

Borland Capital Group Charged by SEC – Securities Attorneys

July 1, 2018

SEC Orders Merrill Lynch to Return More than $10.5 Million to Harmed Customers

June 30, 2018

FINRA Enforcement of Non-Members and Penny Stock Issuers

June 28, 2018

Investment Banker, Woojae “Steve” Jung, Chaerged in Insider Trading Scheme

June 12, 2018

Steven Pagartanis Charged for Defrauding Customers

June 12, 2018

Beware of Custodianship Shells and Reverse Mergers

May 4, 2018

JH Darbie Charged in Calissio Resources Scam – Securities Lawyer 101

May 1, 2018

SEC Charges Beaufort Securities for Manipulative Trading in Microcap Penny Stocks

April 3, 2018

SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors

January 12, 2018

Ibrahim Almagarby and Microcap Equity Group LLC Charged by SEC

December 1, 2017

John Venditto and Oyster Bay Charged by SEC

November 29, 2017