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.
Four Canadian nationals and one former California attorney, who is believed to be residing in Mexico, were indicted on Jan. 9, 2024…
Read MoreOn January 12, 2024, the U.S. Attorney’s Office for the District of Minnesota announced Aditya Raj Sharma of Maple Grove, Minnesota, had…
Read MoreOn January 12, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Jonathan Farber, Aarif Jamani, and Brian Keasberry for…
Read MoreOn December 21, 2023, Siddharth Jawahar, 36, a former investment advisor, was indicted by a grand jury in U.S. District Court in…
Read MoreOn Tuesday, January 2, 2024, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule with the Securities and Exchange Commission (the…
Read MoreOn January 3, 2024, the Securities and Exchange Commission (the “SEC”) announced that it obtained an asset freeze and other emergency relief…
Read MoreShort selling, the practice of betting a stock will go down, not up, has been controversial since it was invented more than…
Read MoreOn December 18, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Mmobuosi Odogwu Banye, a/k/a Dozy Mmobuosi, and three…
Read MoreM&A BROKERS EXEMPTION In December of 2022, President Biden signed the Consolidated Appropriations Act of 2023 into law. The new law includes…
Read MoreOn December 6, 2023, a three-count indictment was unsealed in federal court in Brooklyn charging Raymond John Pirrello, Jr., also known as…
Read MoreOn December 4, 2023, Swiss private bank Banque Pictet et Cie SA admitted to conspiring with U.S. taxpayers and others to hide…
Read MoreIn the past three years, some important changes have occurred to how “penny stocks” or “microcaps” trade and are regulated. By the…
Read MoreRegistration Statements on Form S-3 is a short form registration statement under the Securities Act of 1933, as amended (the “Securities Act”), which…
Read MoreOn November 13, 2023, United States District Judge William F. Kuntz, II, of the United States District Court of the Eastern District…
Read MoreEach offer and sale of a security must be (a) registered with the Securities and Exchange Commission (SEC); or (b) subject to…
Read MoreUnder applicable SEC rules for periodic reporting, an SEC reporting issuer must generally report certain current events on Form 8-K within four…
Read MoreConvertible Financing For decades, microcap issuers on the OTC Markets in need of financing have largely been forced to turn to what…
Read MoreSecurities and Exchange Commission (“SEC”) Rule 15c2-11 prohibits broker-dealers from publishing or submitting securities of private issuers on the OTC Markets, unless…
Read MoreOn October 13, 2023, the Securities and Exchange Commission (the “SEC“) adopted new Rule 10c-1a, which will require certain persons to report…
Read MoreOn October 10, 2023, the Securities and Exchange Commission adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of…
Read MoreAll issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…
Read MoreOn September 29, 2023, the SEC charged Massachusetts-based company Stock Squirrel, Inc. and John Feloni, its president and CEO, with defrauding investors…
Read MoreOn September 28, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Adam R. Long of Dorado, Puerto Rico,…
Read MoreOn September 26, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Texas resident Philip Verges (“Verges”), James D. Tilton,…
Read MoreOn September 18, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Florida resident Wilson J. Rondini, III and two…
Read MoreIn 2021, OTC Markets Group provided guidance about public disclosures that companies are required to provide to reach the current information tier…
Read MoreAs summer peaked at the end of July, Meta Materials (MMAT) popped back into the news. What had happened? The company filed…
Read MoreOn Thursday, July 20, 2023, the Securities and Exchange Commission (the “SEC“) announced settled fraud charges against Digital World Acquisition Corporation (DWAC),…
Read MoreOn Monday, July 17, 2023, the Securities and Exchange Commission (the “SEC”) charged New Jersey resident and former broker-dealer registered representative, James…
Read MoreOn July 12, 2023, former securities attorney Phillip W. Offill was sentenced today to six years in prison and ordered to pay…
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