December 2012 Archives - Going Public Lawyers

Emerging Growth Company – Going Public Attorneys

Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which was intended to help smaller and emerging growth companies raise capital in the U.S. markets. The JOBS Act amends, and adds… Read More

SEC Charges Four With Securities Fraud

Securities Lawyer 101 Blog On December 21, 2012, securities fraud charges were announced against Danny Garber, Michael Mannis, Kenneth Yellin and Jordan Feinstein as well as 12 corporate egos with conducting a fraudulent penny stock scheme.  The SEC alleges… Read More

The SEC Issues Trading Suspension of Southridge Enterprises

Securities Lawyer 101 Blog On Dec 28, 2012, the Securities and Exchange Commission (“SEC”) announced a trading suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of the securities of Southridge Enterprises,… Read More

The Securities Act of 1933

Securities Lawyer 101 Blog The Securities Exchange Act of 1933, as amended (the “1933 Act”) is often referred to as the “truth in securities” law. The 1933 Act requires disclosure of financial and other material information about securities that are… Read More

Securities Registration and the Emerging Growth Company

If a private company undertakes a public offering, the Securities Act of 1933, as amended (the “1933 Act”) requires the private company to file a registration statement with the SEC before it may offer its securities for sale… Read More

How Do I Go Public to Raise Capital?

Securities Lawyer 101 Blog A private or public company can raise capital in a variety of ways. Traditional sources of capital for companies include loans from financial institutions such as a bank, or from friends and family as… Read More

JOBS Act l Research Analysts and Underwriters

Securities Lawyer 101 Blog On September 28, 2012, the Financial Industry Regulatory Authority, Inc. (“FINRA”) proposed rule changes to the Securities and Exchange Commission (the “SEC”), for NASD Rule 2711, which regulates the activities of research analysts. The… Read More

Securities Lawyers Gone Wild l Carl Duncan

Securities Lawyer 101 Blog On September 27, 2012, the SEC charged 8000, Inc. and Carl Duncan, Esq. for his role in a scheme to manipulate 8000, Inc.’s stock price. The SEC complaint alleges that certain defendants misrepresented 8000,… Read More