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 March 28, 2019, the SEC charged Keith Borge, the former controller of a New York-based not-for-profit college with defrauding municipal securities…
Read MoreThe SE announced on April 1, 2019 that it had halted an ongoing investment fraud by Investment Advisor Motty Mizrahi targeting members…
Read MoreOn March 22, 2019, the SEC charged registered investment adviser Direct Lending Investments, LLC with a multi-year fraud that resulted in approximately…
Read MoreOn March 26, 2019, the Securities and Exchange Commission (SEC) announced settled actions against Reverse Merger Shell Brokers, James K. McKillop, attorney…
Read MoreOn March 26, 2019 the SEC filed settled charges against recidivist James K. McKillop for acting as an unregistered broker and for…
Read MoreOn March 8, 2019, Securities and Exchange Commission (SEC) Chairman Jay Clayton and Brett Redfearn, Director of the agency’s Division of Trading…
Read MoreThe SEC filed on March 28, 2019 charges against the former Chief Operating Officer (COO), Richard Diver of a Commission-registered investment adviser…
Read MoreThe SEC announced fraud charges and an asset freeze on March 18, 2019, against the operators of a $25 million Ponzi scheme falsely promising…
Read MorePublic Companies that qualify as a "Controlled Company" with securities listed on the Nasdaq Stock Market (NASDAQ) or the New York Stock Exchange (NYSE), must comply…
Read MoreAn Initial Public Offering (“IPO”) is often used by a private issuer seeking to go public as part of its going public…
Read MoreOn January 2, 2019, a federal district court entered final consent judgments against an Australia-based investment adviser, Goldsky Asset Management, LLC, and…
Read MoreRule 506(c) is not available to certain bad actors. The bad actor rule prohibits an issuer from relying on the exemption if…
Read MoreThe SEC announced on March 12, 2019 that it has charged Texas resident William Neil “Doc” Gallagher-the self-styled “Money Doctor” featured on…
Read MoreSecurities Lawyer 101 Blog Issuers are often unaware of the state laws that apply to their private placements prior to completion of…
Read MoreThe SEC charged on February 21, 2019, Joseph Frank Vacante, a former employee of a biotech company with insider trading on confidential…
Read MoreOn March 1, 2019, a federal district court entered a final consent judgment against broker, William Gennity who was charged with defrauding…
Read MoreOn February 22,2019 the SEC announced the entry of a final judgment against James Polese, a former investment adviser at a large…
Read MoreOn February 20, 2019, the U.S. District Court for the Southern District of Florida entered final judgments on consent against Mathias Francisco…
Read MoreThe Securities Act of 1933, as amended (the “Securities Act”) does not require that issuers place restricted legend (“Restricted Legends” or “Restrictive…
Read MoreOn February 19, 2019, the SEC posted a new proposed rule intended to make it possible for all issuers to “test the…
Read MoreOn February 15, 2019 the SEC announced charges against four individuals and related businesses for their roles in two microcap frauds and…
Read MoreOn February 15, 2019, Cognizant Technology Solutions Corporation has agreed to pay $25 million to settle charges that it violated the Foreign…
Read MoreFinders may become involved in various securities transactions including matters other than raising capital, including reverse mergers and Direct Public Offerings. A…
Read MoreOn 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…
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