SEC Charge - Going Public Lawyers

Investment Banker in Insider Trading Scheme

According to the The Securities and Exchange Commission (“SEC”), Woojae “Steve” Jung, an investment banker at Goldman Sachs, used confidential client information to trade in the securities of 12 different companies prior to the announcement of market-changing events…. Read More

Constellation Healthcare Technologies Executives Charged with Fraud

On May 16th, 2018, the Securities and Exchange Commission (“SEC”) charged three former executives for Constellation Healthcare Technologies Inc. (Constellation), a Houston- based company, who falsified financial and other information they provided to a private firm while negotiating… Read More

Chardan Capital Charged by SEC

On May 16, 2018, the Securities and Exchange Commission (“SEC”) charged Chardan Capital Markets LLC (Chardan Capital) and Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), a New York City based brokerage firm, alleging the report… Read More

SEC Obtains Judgment Against Steven Davis

The Securities and Exchange Commission (SEC) announced that on January 8, 2016, the United States District Court for the Southern District of New York entered a judgment against defendant Steven Davis. The judgment resolves all issues of liability… Read More

Court Issues Final Judgment Against Auditor Timothy Quintanilla

The United States Securities and Exchange Commission (SEC) announced that, on December 4, 2015, the Court for the Southern District of New York issued a final judgment, on consent of defendant Timothy Quintanilla, which permanently enjoined him from violating… Read More

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 alleges that Spivnak received the private information from his girlfriend at the time, Shirmila Doddi, who… Read More

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 complaint alleges that Williams misappropriated and diverted more than $3.1 million illicit funds that he accumulated from… Read More

Charles Riel and REinvest LLC Charged with Securities Fraud

On September 29, 2015, the Securities and Exchange Commission (SEC) charged a company and its manager with securities fraud of their investors by promising them outlandish “low risk” investment returns and then misusing the investors’ money to, among other… Read More

SEC Charges Michael Moore For Monkey Rock & Cytta

On September 29, 2015, the Securities and Exchange Commission (SEC) filed a complaint in the U.S. District Court for the District of Nevada against Michael J. Moore, formerly a certified public accountant known for auditing many questionable microcap… Read More

SEC Settles Aiding and Abetting Charges Against Joseph Apuzzo

On September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the allegations… Read More