Securities Law and Going Public Blog

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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

When is a Form S-1 Confidential? Going Public Securities Lawyers

Form S-1 is a common part of the going public process. In some circumstances Form S-1 filings can remain confidential prior to…

Scottsdale and John Hurry Push Back to Stop FINRA Investigation

On December 17, 2018, John Hurry broker dealer, Scottsdale Capital Advisers Corporation sued the Financial Industry Regulatory Authority (“FINRA”), for breach of…

Form F-1 Registration Statement Requirements, Filling, Effectiveness, Going Public

Typically, foreign companies seeking to raise capital attempt to obtain public company status. Foreign companies that go public in the U.S. can register…

What is a SEC Registration Statement? Going Public Lawyer

The Securities Act of 1933 (the “Securities Act”) is referred to as the “truth in securities” act. The Securities Act has two…

Due Diligence in Accredited Crowdfunding Offerings – Securities Lawyer 101

Even though Accredited Crowdfunding Offerings are exempt under Rule 506(c) and no specific disclosure requirements apply, under most circumstances, the anti-fraud provisions…

SEC Files Subpoena in Possible Market Manipulation Scheme

The SEC filed a subpoena enforcement action against three penny-stock companies and their CEO – Cherubim Interests, Inc., PDX Partners, Inc., Victura…

SEC Charges Taiwan-Based Insurance, China United with Fraudulent Market Manipulation Scheme

A Taiwan-based insurance company, China United Insurance Service, Inc. and one of its former managers have agreed to settle fraud charges brought by…

SEC Obtains Judgment Against Former CEO John Place

On November 9, 2018, the SEC obtained a judgment against John Place, a former CEO of a brokerage consulting business who was…

SEC Obtains Asset Freeze Against Former Thomas Laws CEO Charged with Misappropriating Investor Funds

The SEC announced on December 14, 2018 charges against Thomas Laws, the former CEO of Santa Fe Gold Corporation, for the misappropriation of…

SEC Sues Orange County Investment Adviser, Craig Arsenault for Defrauding Clients

On December 14, 2018 the SEC charged Craig Arsenault, a California investment adviser with misappropriating client funds and misleading his clients about…

SEC Obtains Final Judgment Against Gregory Webb, a Chicago Tech Executive

The SEC has obtained a final judgment against Gregory Webb, the former Chairman and CEO of a company purportedly in the homeland…

Rule 506 Offerings FAQ By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act…

Form 10 v Form S-1 Registration Statements – Going Public

Form S-1 and Form 10 each provide unique benefits in the going public process. Additionally, Form S-1 and Form 10 require similar…

Regulation A+ Q&A

Since Regulation A+ was adopted in 2015, it has gained notable market acceptance. Regulation A+ provides an offering that can be used…

Regulation A+ , Going Public and Secondary Trading

The Securities & Exchange Commission’s amendments to Regulation A known as Regulation A+ went into effect on June 19, 2015. Regulation A+ has…

Form S-1 Registration Statement Filings – Securities Lawyers – Going Public

Form S-1 registration statement filings are used by companies seeking to raise capital and go public. The Form S-1 filing ...

SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme

The SEC filed a subpoena enforcement action against NVC Fund LLC and its principal, Frank Ekejija, seeking an order directing them to…

The SEC Declared A Cease and Desist Proceedings with CoinAlpha Advisors LLC.

On December 7, 2018, CoinAlpha Advisors LLC submitted an Offer of Settlement, which the SEC has determined to accept. CoinAlpha Advisors LLC…

SEC Voluntary Dismisses All Claims Against Jesse Litvak

On December 6, 2018, the U.S. District Court for the District of Connecticut entered an order dismissing, with prejudice, the U.S. Securities…

SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme

The SEC charged Michael Rothenberg, the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors to…

Court Enters Final Judgments in Eb-5 Scheme, Ordering Return of $25.8 Million to Defrauded Chinese Investors

On November 19, 2018, a U.S. District Court for the Central District of California entered final judgments on consent against defendants Edward…

Owner of Options Trading Website, Mark Suleymanoy Charged for Defrauding Retail Investors

On December 3,2018 the SEC charged Mark Suleymanov of Glen Cove, New York with engaging in an online binary options scheme that…

David Dreslin and Michael Toups charged with Orchestrating a Fraudulent Public Shell Company Scheme

The SEC announced on December 3,2018 fraud charges against a Florida-based CPA, a former broker, and his spouse, for their roles in…

A Kentucky Man, Jared Forrester charged for Role in Nationwide Oil Investment Scheme

The Securities and Exchange Commission charged a 35-year-old Jared Forrester for his role in a scheme that resulted in the fraudulent offering…

SEC Charges Eric “EJ” Dalius, Network Marketer with Masterminding a Multimillion Dollar Ponzi and Pyramid Scheme

The SEC has charged Eric “EJ” Dalius and seven corporate entities that he controlled with defrauding investors through the promotion and operation…

SEC Charges Self-Described Promoter Eric Landis with Microcap Market Manipulation Scheme

On November 29, 2018, the SEC charged Eric Landis, a self-described penny stock promoter and an entity he controlled with orchestrating a…

SEC Accepts Settlement Offer Against Ricardo Goldman

On November 29, 2018, the SEC determined to accept the Offer of Settlement which was submitted by Ricardo Goldman. A resident of…

SEC Obtains Final Judgement Against Steven Newman

On November 9, 2018, the Honorable Nicholas G. Garaufis of the United States District Court for the Eastern District of New York…

SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accountotc mar

The SEC charged Morrie Tobin and three other individuals for their roles in a scheme to profit from the manipulation and illegal…

Court Enters Final Judgment in Case Against Immigration Lawyer, Steve Qi and His Law Firm

On November 5, 2018, a U.S. District Court for the Central District of California entered a final judgment on consent against immigration…

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/