FINRA Expels Halcyon Cabot Partners
The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael…
Read MoreBlog
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.
Latest Blog Posts
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…
Read More
Anthony Knight Barred, Enjoined, and Fined for Unregistered Securities
On Thursday, September 3, 2015, United States District Court Judge Denis R. Hurley of the United States District Court for the Eastern…
Read More
Consultant Charged With Insider Trading
On September 23, 2015, the Securities and Exchange Commission (SEC) charged a consultant and his friend with insider trading in the options…
Read More
SEC Announces New Resource – Going Public Attorneys
Posted By the Going Public Attorneys On September 24, 2015, the Securities & Exchange Commission (SEC) announced a new resource on its…
Read More
Former Fannie Mae Executives Resolve Subprime and Reduced Documentation Disclosure Case with SEC
The Securities and Exchange Commission (SEC) announced on September 22, 2015 that the Honorable Paul A. Crotty of the United States District…
Read More
SEC v. Two Men Who Defrauded Investors
On September 21, 2015 the Securities and Exchange Commission (SEC) charged two men behind a scheme that defrauded investors in YaFarm Technologies…
Read More
SEC Charges Penny Stock Company and CEO with Fraud and Issuing a False Press Release
On September 15, 2015, the Securities and Exchange Commission (SEC) charged a microcap issuer, The Mobile Star Corporation, and its CEO…
Read More
SEC Obtains Final Judgement Against Julio Cruz for Targeting Latino Communities with Pyramid Scheme
On September 17, 2015, the Securities and Exchange Commission (SEC) announced that on September 16, 2015, the federal court in Boston, Massachusetts,…
Read More
James Meagher Enjoined in Penny Stock Case
The Securities and Exchange Commission (SEC) announced on September 16, 2015 that Chief Judge Gregory M. Sleet of the United States District…
Read More
SEC Charges Robert Milligan With Securities Fraud
The Securities and Exchange Commission (SEC) announced on September 18, 2015 charges against Robert DeWayne Milligan, who was president of a California-based…
Read More
Eric McPhail Sentenced in Insider Trading Action
The Securities and Exchange Commission (SEC) announced that, on September 18, 2015, Eric McPhail was sentenced to 18 months in prison and…
Read More
SEC Order Imposes Fine On Ditto Holdings For $3.7 Million Unlawful Offering
On September 8, 2015, the Securities and Exchange Commission (“SEC”) initiated public cease-and-desist proceedings pursuant to Section 8A of the Securities Act…
Read More
SEC Charges Florida Based CPA For Bogus Audit Opinions
On September 17, 2015 the SEC imposed sanctions against a Florida based CPA for producing deficient and fraudulent audits and quarterly…
Read More
U3 Halt of SWK Holdings Explained by FINRA, and Lifted Quickly
We recently wrote about a bungled dividend distribution made by Calissio Resources Group, Inc. (CRGP) that resulted in the imposition of a…
Read More
FINRA’s Disclosure Requirements In EB-5 Offerings
FINRA Rule 2040 became effective late last month and has the potential to provide increased transparency in EB-5 Offerings. Rule 2040 requires broker-dealers who…
Read More
Investor Alert – Messaging Apps & Pump and Dump Scams
On September 2, 2015, the Financial Industry Regulatory Authority (FINRA) issued an investor alert warning about investor relations activity and stock promotions…
Read MoreBungled Calissio Resources Dividend Sparks FINRA Halt and Clearing Firm Lawsuit
For penny stock enthusiasts looking for a little late-summer entertainment, the issues surrounding an extremely large special dividend distributed by Calissio Resources…
Read More
MusclePharm Charged In SEC Investigation
On September 8, 2015, the Securities and Exchange Commission (SEC) charged a sports supplements and nutrition company with committing a series of…
Read More
Securities Lawyer 101 Blog By Brenda Hamilton Nominated
Our readers have spoken – Securities Lawyer 101 written by Brenda Hamilton, a securities and going public lawyer has been selected to compete in…
Read More
SEC Charges Bankrate and Former Executives with Securities Fraud
On September 8, 2015, the Securities and Exchange Commission (“SEC”) announced that Bankrate Inc. has agreed to pay $15 million to settle…
Read MoreSEC Brings Charges In Reverse Merger Scam – Going Public Attorneys
On September 10, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against a Wall Street CEO and his company, family…
Read More
SEC Charges Ross Shapiro, Michael Gramis, and Tyler Peters With Fraud
On September 9, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against three traders accused of repeatedly lying to customers…
Read More
Regulation A+ DPO Attorneys – Going Public Attorneys
Most private companies are unable to locate an underwriter prior to going public. Regulation A+ provides a new option for issuers seeking…
Read More
SEC Charges Manny Shulman and David Hirschman
On September 3, 2015, the Securities and Exchange Commission (“SEC”) charged Manny J. Shulman and David Hirschman for their involvement in the…
Read More
SEC Halts Harrison Schumacher In California-Based Oil and Gas Investment Fraud
On August 27th, 2015, the Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze to halt a California-based…
Read MoreSEC Charges Bank Analyst Ashish Aggarwal With Insider Trading
On August 25th, 2015, the Securities and Exchange Commission (SEC) charged a former investment bank analyst with illegally tipping his close friend…
Read More
SEC Obtains Summary Judgment Against Xytos In Securities Fraud
The Securities and Exchange Commission (SEC) announced that on August 24th, 2015, the Honorable Sarah Evans Barker of the United States…
Read More
SEC Announces Asset Freeze In EB-5 Offering Scheme
On August 25, 2015, the Securities and Exchange Commission (SEC) announced an asset freeze obtained against a man in Bellevue, Wash., accused…
Read More
What is a Penny Stock Email Campaign ?
In our digital age, sensible people know they should be wary of unsolicited financial advice, but there are still many who can’t…
Read MoreBlogroll & Resources
Explore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.
FINRA
https://www.finra.org/JOBS Act 101
https://www.jobsact101.com/Go Public 101
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://ppe.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://ppe.securitieslawyer101.com/securities-law-video-series/