Brenda Hamilton, Securities and Going Public Lawyer

Sanofi Charged With FCPA Violations

September 22, 2018

The Going Public Lawyer’s Guidebook – Securities Lawyer 101

September 21, 2018

SEC Charges Florida Cash Advance Company, Former CEO Carl Ruderman With Defrauding Retail Investors

September 21, 2018

SEC Charges NFL Player Mychal Kendricks and Former Investment Banker With Insider Trading

September 20, 2018

Press Release SEC Charges Moody’s Investors Service Inc. With Internal Controls Failures and Ratings Symbols Deficiencies

September 19, 2018

Legg Mason Charged With Violating the FCPA

September 18, 2018

What is FINRA Rule 6490? Going Public Lawyers

September 18, 2018

Complying with Rule 6490’s requirements may entail an unanticipated legal and compliance cost for issuers and their securities attorneys, who may be unfamiliar with FINRA’s…

Transamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models

September 17, 2018

Fee Rate Advisory #1 for Fiscal Year 2019

September 16, 2018

SEC Bars David T. Laurance Perpetrator of Initial Coin Offering Fraud

September 15, 2018

SEC Charges Oil Company CEO John Schiller With Hiding His Personal Loans

September 14, 2018

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

September 13, 2018

Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs

September 12, 2018

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors

September 11, 2018

SEC Charges Mizuho Securities for Failure to Safeguard Customer Information

September 10, 2018

Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls

September 9, 2018

The Distinction Between Equity Crowdfunding and Rule 506(c) When Raising Capital

September 9, 2018

What is a Private Placement Memorandum – PPM? Going Public Lawyers

September 8, 2018

A private placement memorandum sometimes called a PPM is used by private companies in going public transactions and by existing public companies…

SEC Adopts Amendments to Simplify and Update Disclosure Requirements

September 8, 2018

SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets

September 7, 2018

Rule 506 Roadmap l Ask Securities Lawyer 101

September 7, 2018

SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure

September 6, 2018

Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision

September 5, 2018

SEC Charges Technology Fund Adviser Michael B. Rothenberg, Founder in Fraudulent Scheme

September 4, 2018

How to Spot a Penny Stock Scam

September 4, 2018

SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience

September 3, 2018

SEC Charges Endurance International Group Holdings Inc. Executives With Inflating Operating Metrics

September 2, 2018

Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service

September 1, 2018

SEC Files Charges Gannon Giguiere in Busted Microcap Schemes

August 31, 2018

Former CEO Kevin Modany and CFO Daniel Fitzpatrick of ITT Barred and Ordered to Pay Penalties

August 28, 2018