SEC Lawyer Archives

SEC Charges Kimberly Sredich with Misappropriation Scheme

May 8, 2019

SEC Charges Yuh-Yue Chen, a California Engineer with Insider Trading

May 6, 2019

SEC Obtains Final Judgments Against Joseph Meli and Parties involved in Ticket Resale Scams

May 3, 2019

What is Form 211? Rule 15c-211, Sponsoring Market Maker Requirements

May 2, 2019

Locating a sponsoring market maker to file the Form 211 under Rule 15c-211 has become a challenging step in the going public…

SEC Charges Woodbridge Directors, Ivan Acevedo and Dane Roseman with Fraud

May 1, 2019

SEC Charges Arif Naqvi and Dubai-Based Advisory Firm

April 29, 2019

SEC Charges Investment Adviser, Gonzalo Ortiz with Securities Fraud

April 26, 2019

SEC Charges Fifteen Unregistered Brokers for Illegal Offering of Intertech Solutions

April 24, 2019

SEC Charges Reverse Merger Shell Brokers, Tiber Creek and James Cassidy

April 11, 2019

Can Finders Raise Money Q & A – Going Public Lawyers

March 2, 2019

Finders may become involved in various securities transactions including matters other than raising capital, including reverse mergers and Direct Public Offerings. A…

Court Imposes Lifetime Officer-And-Director Bars On Michael J. Kipp, Swisher’s former CFO, and Joanne K. Viard

February 27, 2019

SEC Accepts Settlement Offer Against Ricardo Goldman

November 30, 2018

SEC Obtains Final Judgement Against Steven Newman

November 29, 2018

Press Release SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program

October 16, 2018

SEC Charges ICO Superstore TokenLot LLC and Owners Lenny Kugel & Eli L. Lewitt With Operating As Unregistered Broker-Dealers

October 2, 2018

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

September 21, 2018

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors

September 11, 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

Regulation A+ Guidebook

August 2, 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