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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.
On September 8, 2021, the Securities and Exchange Commission (the “SEC”) charged Nevada resident Frederick Bauman with playing a critical role as…
Read MoreOn September 1, 2021, the Securities and Exchange Commission announced that it filed an action against Alexander Kon, a penny stock promoter…
Read MoreIn 2020, the Securities and Exchange Commission (the “SEC”) stepped up its efforts to reel in “toxic lenders”: individuals who profit enormously…
Read MoreOn August 2, 2021, Gary Gensler, the new chair of the Securities and Exchange Commission (SEC), announced that because he wasn’t entirely…
Read MoreOn Friday, August 13th, the Securities and Exchange Commission (the “SEC”) filed charges against GPL Ventures LLC, GPL Management LLC, Alexander J.…
Read MoreGoing public offers many benefits to companies seeking to grow their business, including: Enhanced ability to raise capital, Liquidity for founders and…
Read MoreOn July 29, 2021, the United States District Court for the District of New Jersey entered a default judgment against Oleksandr Ieremenko…
Read MoreAs the summer of 2021 enters its final months, investors in the U.S. over-the-counter market and OTC issuers themselves await the rollout…
Read More2020 has been a historic year for Securities and Exchange Commission ("SEC") enforcement action against toxic lenders as unregistered dealers.
Read MoreOn July 29th, the Securities and Exchange Commission (the “SEC”) announced charges against Trevor R. Milton, the founder, former CEO and former…
Read MoreOn July 22, 2021, the Securities and Exchange Commission (the “SEC”) filed an emergency action charging California resident Charlie Abujudeh with running…
Read MoreOn July 15th, the Securities and Exchange Commission (the “SEC”) announced charges against Marlon Muller for engaging in a pattern of…
Read MoreOn September 28, 2021, new amendments to Rule 15c-211 under the Securities Exchange Act of 1934 go into effect to enhance investor…
Read MoreToday, July 15, 2021, the Securities and Exchange Commission (the “SEC”) charged the former CEO and CFO of FTE Networks, Inc. (“FTE”),…
Read MoreToday, the Securities and Exchange Commission (the “SEC”) suspended trading in 55 publicly traded penny stock companies because of public interest concerns.…
Read MoreOn July 9th, the Securities and Exchange Commission (the “SEC”) charged three individuals with insider trading in advance of an announcement by…
Read MoreOn July 1st, the Securities and Exchange Commission (the “SEC”) filed charges against banned attorney Shawn F Hackman for violating a September…
Read MoreOn June 30, the Securities and Exchange Commission (the “SEC”) announced settled charges against Reuben Robert Goldman and his online stock promotion…
Read MoreOTC Markets Pink companies will need to update their disclosure to ensure they comply with the new requirements. Alternative Reporting…
Read MoreIn September of last year, the Securities and Exchange Commission (the “SEC”) adopted amendments to Securities Exchange Act Rule 15c2-11. In early 2020, we…
Read MoreCompanies quoted on OTC Link include the OTC Markets’ OTCQX and OTCQB. They must provide key financial information and be current in…
Read MoreOn Friday, June 18th, the SEC filed a Complaint in the United States District Court for the District of Minnesota against Minnesota…
Read MoreSenator Patrick Leahy (D-Vt.), a senior member and former chairman of the Judiciary Committee, and Senator Chuck Grassley (R-Iowa), Ranking Member of…
Read MoreOn May 28, 2021, the SEC charged RenovaCare Inc (RCAR) and its controlling shareholder, Harmel S. Rayat, with securities fraud for intentionally…
Read MoreOn May 28, 2021, the SEC announced charges against five individuals alleging that they promoted a global unregistered digital asset securities offering…
Read MoreIt can be the worst feeling in the world. You wake up, get your trading station all ready for a new day…
Read MoreOn May 19, 2021, the Securities and Exchange Commission charged a New Jersey-based healthcare company and its founder, Josiah David (formerly known…
Read MoreOn May 20, 2021, Ted Brent Alexander and Jon Darrell Seawright both of Jackson, Mississippi, were indicted by a federal grand jury…
Read MoreMyths and misinformation: The truth behind reverse mergers. What is really the best way to go public? Direct Public Offering vs Reverse…
Read MoreOn Friday, May 14, 2021, David C Coggins, 42, of Miami, was sentenced to 51 months in prison, followed by 36 months…
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