March 2015 Archives - Going Public Lawyers

Direct Public Offering Q & A – Going Public Lawyers

Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to have an experienced securities attorney to help your company navigate through the process and deal with the Securities… Read More

Brenda Hamilton Featured By Intuit About Direct Public Offerings and Going Public

Intuit Inc., a provider of small business software solutions, including QuickBooks, tackles accounting, taxes, budgets, and personal finances with TurboTax. Quicken featured an interview with  Securities Attorney Brenda Hamilton.* Brenda Hamilton practices Securities Law focusing on Direct Public Offerings… Read More

FINRA Sanctions Short Seller – Securities & Going Public Attorneys

Short sale conspiracy theorists will be pleased to learn that on March 25, 2015, The Financial Industry Regulatory Authority (FINRA) announced sanctions of $916,000 against Short Seller, First New York Securities L.L.C. for short selling ahead 14 public… Read More

SEC Charges 22 Unregistered Broker-Dealers-Going Public Attorneys

The Securities and Exchange Commission (SEC) Division of Enforcement is pursuing unregistered broker-dealer activity which runs rampant in the penny stock markets.  With a reduction of the number of small broker-dealers, there have been limited sources of capital… Read More

The Going Public Attorney’s Document Review

Securities Lawyer 101 Blog The securities laws require companies to disclose a myriad of facts during the going public process.  These disclosures are most often prepared by the company’s going public attorney. These stringent disclosure requirements apply to… Read More

SEC Issues Trading Suspension of Winsonic Digital Media Group

The Securities and Exchange Commission (SEC) announced the temporary trading suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (“Exchange Act”), of trading in the securities of Winsonic Digital Media Group, Ltd. (WDMB), commencing at 9:30… Read More

FINRA Reveals Fraud Victims Suffer Stress, Anxiety and Depression

Recently, the FINRA Investor Education Foundation issued a new research report about the impact of financial fraud on its victims. FINRA’s report revealed that nearly two thirds of self-reported financial fraud victims experienced at least one non-financial cost of… Read More

Why Is There A Q On My Ticker Symbol?

When a company is involved in bankruptcy proceedings, the letter “Q” is added to the end of the company’s stock ticker/trading symbol. More often than not, bankruptcy is the kiss of death for a public company. In most… Read More

What Is Schedule 13D? Going Public Attorneys

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities registered under Section 12 of the Securities Exchange Act of 1934 (“Exchange Act”), they are… Read More

What Stock Can I Register On A Form S-8 Registration Statement?

Posted By Brenda Hamilton, Securities Lawyer Form S-8 is a short-form registration statement under the Securities Act of 1933, as amended (Securities Act) used to register employee and consultant benefit and compensation plans. Form S-8 cannot be used until… Read More