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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 March 15, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against five individuals for allegedly operating a call center…
Read MoreOn March 1, 2022, the Securities and Exchange Commission (the “SEC”) announced fraud charges against San Diego-based attorney Andrew T.E. Coldicutt for…
Read MoreOn February 23, 2022, the United States District Court for the Eastern District of New York entered a final judgment against Martin…
Read MoreThe Securities and Exchange Commission charged Michael M. Beck for using his Twitter handle, @BigMoneyMike6, to deceive investors into buying penny stocks…
Read MoreThe Securities and Exchange Commission voted on Wednesday to propose rule changes to reduce risks in the clearance and settlement of securities,…
Read MoreOn January 21, 2022, Judge Beth Bloom of the United States District Court for the Southern District of Florida granted the SEC’s…
Read MoreIn mid-January 2022, British tabloid the Daily Mail published a long story about U.S. House Speaker Nancy Pelosi’s son Paul Jr, in…
Read MoreOn January 19, 2022, the Securities and Exchange Commission charged securities fraud recidivist Phillip W. Offill, Jr. and Justin W. Herman (a former…
Read MoreOn January 7, 2022, Christopher R. Esposito, 55, of Everett, was charged and has agreed to plead guilty to one count of…
Read MoreJust before the end of 2021, Elad L. Roisman, one of the SEC’s five Commissioners, announced his resignation, effective at the end…
Read MoreOn December 20, 2021, the Securities and Exchange Commission announced fraud charges against five Russian nationals for engaging in a multi-year scheme…
Read MoreOn Thursday, December 9th, three more Canadian citizens were charged by the Securities and Exchange Commission as part of what has been…
Read MoreOn November 9, 2021, the Securities and Exchange Commission charged four individuals and their companies, including a securities fraud recidivist, with scheming…
Read MoreThough nearly two months have passed since compliance with the Securities and Exchange Commission’s amended Rule 15c2-11 became mandatory on September 28,…
Read MoreOver the past few years, we’ve written frequently about so-called “toxic lenders” engaged in unregistered dealer activity and the toll their loans…
Read MoreOn Tuesday, October 26th, Steven Gallagher 50, of Maumee, Ohio, was arrested and charged with securities fraud, wire fraud, and market manipulation.…
Read MoreSince the fall of 2019, we’ve written a number of times about the Securities and Exchange Commission’s amendments to Rule 15c2-11, which,…
Read MoreOn Wednesday, October 13, 2021, a federal jury in Cheyenne returned guilty verdicts against a Pennsylvania man and two Florida men related…
Read MoreAcross 2016–2020, enforcement actions centered on insider trading, offering frauds (including Ponzi‑like schemes), microcap promotion/manipulation, disclosure and internal‑controls failures, gatekeeper lapses, and…
Read MoreOn September 30, 2021, the Securities and Exchange Commission (the “SEC”) announced charges against Mark Melnick, a day trader and T3 Live…
Read MoreOn September 28, 2021, the Securities and Exchange Commission (the “SEC”) announced that it filed an emergency action and obtained an asset…
Read MoreOn September 24, 2021, the Securities and Exchange Commission (“SEC”) charged Carebourn Capital, L.P. and its managing partner Chip Rice of Maple…
Read MoreProceedings under Section 12(j) of the Securities Exchange Act of 1934, (the “Exchange Act”) are frequently initiated when an SEC reporting company…
Read MoreToday, the Securities and Exchange Commission charged a Florida resident and his friend for engaging in a fraudulent scheme designed to collect…
Read MoreWe’ve written several times about the Securities and Exchange Commission’s (“SEC”) amendments to Rule 15c2-11, first proposed in September 2019 and adopted…
Read MoreWe last wrote about the Securities and Exchange Commission’s new Rule 15c2-11 in early August. The amended rule was proposed in September…
Read MoreOn September 15, 2021, the Securities and Exchange Commission (the “SEC”) awarded approximately $110 million to a whistleblower whose information and assistance…
Read MoreOn 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…
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