Blog
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.
On February 12, 2019, the SEC charged two former high-ranking executives, of an Indiana-based plastics manufacturer with concealing from potential buyers of…
Read MoreA federal district court has permanently barred two former corporate officers of a North Carolina-based hygiene and sanitation company from serving as…
Read MoreThe SEC obtained a final judgment on February 8, 2018, against Niket Shah, a New Jersey resident who was charged last year…
Read MoreOn January 9, the Cato Institute filed suit against the Securities & Exchange Commission (the “SEC”), its chairman Jay Clayton, and its secretary Brent…
Read MoreOn February 7,2019, the SEC charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals by selling investments…
Read MoreTo ensure the proper structure, a Direct Public Offering Attorney should be engaged in the initial stages of the going public process…
Read MoreRule 506(c) under the JOBS Act fundamentally changes the way unregistered offerings may be conducted. While the rule imposes stringent requirements, these requirements…
Read MoreThe OTC Markets OTCQX offers foreign issuers seeking to go public in the U.S. an appealing alternative to listing on a stock…
Read MoreA foreign private issuer going public can register an offering of securities under the Securities Act of 1933 (Securities Act) or may…
Read MoreForm S-1 is a common part of the going public process. In some circumstances Form S-1 filings can remain confidential prior to…
Read MoreOn December 17, 2018, John Hurry broker dealer, Scottsdale Capital Advisers Corporation sued the Financial Industry Regulatory Authority (“FINRA”), for breach of…
Read MoreTypically, foreign companies seeking to raise capital attempt to obtain public company status. Foreign companies that go public in the U.S. can register…
Read MoreThe Securities Act of 1933 (the “Securities Act”) is referred to as the “truth in securities” act. The Securities Act has two…
Read MoreEven though Accredited Crowdfunding Offerings are exempt under Rule 506(c) and no specific disclosure requirements apply, under most circumstances, the anti-fraud provisions…
Read MoreThe SEC filed a subpoena enforcement action against three penny-stock companies and their CEO – Cherubim Interests, Inc., PDX Partners, Inc., Victura…
Read MoreA Taiwan-based insurance company, China United Insurance Service, Inc. and one of its former managers have agreed to settle fraud charges brought by…
Read MoreOn November 9, 2018, the SEC obtained a judgment against John Place, a former CEO of a brokerage consulting business who was…
Read MoreThe SEC announced on December 14, 2018 charges against Thomas Laws, the former CEO of Santa Fe Gold Corporation, for the misappropriation of…
Read MoreOn December 14, 2018 the SEC charged Craig Arsenault, a California investment adviser with misappropriating client funds and misleading his clients about…
Read MoreThe SEC has obtained a final judgment against Gregory Webb, the former Chairman and CEO of a company purportedly in the homeland…
Read MoreSecurities Lawyer 101 Blog Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act…
Read MoreForm S-1 and Form 10 each provide unique benefits in the going public process. Additionally, Form S-1 and Form 10 require similar…
Read MoreSince Regulation A+ was adopted in 2015, it has gained notable market acceptance. Regulation A+ provides an offering that can be used…
Read MoreThe Securities & Exchange Commission’s amendments to Regulation A known as Regulation A+ went into effect on June 19, 2015. Regulation A+ has…
Read MoreForm S-1 registration statement filings are used by companies seeking to raise capital and go public. The Form S-1 filing ...
Read MoreThe SEC filed a subpoena enforcement action against NVC Fund LLC and its principal, Frank Ekejija, seeking an order directing them to…
Read MoreOn December 7, 2018, CoinAlpha Advisors LLC submitted an Offer of Settlement, which the SEC has determined to accept. CoinAlpha Advisors LLC…
Read MoreOn December 6, 2018, the U.S. District Court for the District of Connecticut entered an order dismissing, with prejudice, the U.S. Securities…
Read MoreThe SEC charged Michael Rothenberg, the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors to…
Read MoreOn November 19, 2018, a U.S. District Court for the Central District of California entered final judgments on consent against defendants Edward…
Read MoreExplore 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.
