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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.
The Securities and Exchange Commission announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges that they acted…
Read MoreThe Securities and Exchange Commission charged two brokers for recommending excessive levels of trading that were costly for retail customers but lucrative…
Read MoreThe Securities and Exchange Commission announced that a whistleblower has earned an award of more than $1.5 million. The whistleblower provided the…
Read MoreThe Securities and Exchange Commission is awarding $39 million to one whistleblower and $15 million to another whose critical information and continued…
Read MoreThe Securities and Exchange Commission charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated by a…
Read MoreThe Securities and Exchange Commission announced settled FCPA charges against New Jersey real estate broker Joohyun Bahn arising out of his attempt to…
Read MoreThe Securities and Exchange Commission charged telecommunications expense management company Tangoe Inc. for its use of fraudulent accounting practices that artificially boosted company revenues…
Read MoreThe Securities and Exchange Commission charged a Texas-based investment fund Greenview Investment Partners L.P. and its founder Michael E. Cone with defrauding investors…
Read MoreThe Securities and Exchange Commission filed charges against a Buffalo, New York, investment advisory firm and its owner for misleading firm clients…
Read MoreThe Securities and Exchange Commission announced that Paris-based pharmaceutical company Sanofi has agreed to pay more than $25 million to resolve charges that…
Read MoreThe Going Public Lawyers Guidebook By Hamilton & Associates Securities Law Group, P.A. Caution: Use Only as Directed Going Public transactions can…
Read MoreThe Securities and Exchange Commission announced charges against 1 Global Capital LLC and its former chief executive officer for allegedly defrauding at least…
Read MoreThe Securities and Exchange Commission charged a professional football player and a former investment banker with insider trading in advance of corporate…
Read MoreThe Securities and Exchange Commission announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to…
Read MoreThe Securities and Exchange Commission announced that Legg Mason Inc. will pay over $34 million to resolve an SEC charge that the company…
Read MoreComplying 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…
Read MoreThe Securities and Exchange Commission today announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to…
Read MoreThe Securities and Exchange Commission announced that in fiscal year 2019 the fees that public companies and other issuers pay to register their…
Read MoreThe Securities and Exchange Commission obtained permanent officer-and-director and penny stock bars against the founder of a company who perpetrated a fraudulent…
Read MoreOn July 16, 2018 The Securities and Exchange Commission charged the former CEO of Energy XXI Ltd. John Schiller with hiding more…
Read MoreThe Securities and Exchange Commission announced on Aug. 6, 2018 that it has updated its list of unregistered firms that use misleading information…
Read MoreThe Securities and Exchange Commission announced on July 20, 2018 that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle…
Read MoreThe Securities and Exchange Commission today charged five individuals and four companies for unlawfully selling securities of Woodbridge Group of Companies LLC…
Read MoreOn July 23, 2018 The Securities and Exchange Commission charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to…
Read MoreThe Securities and Exchange Commission announced that Citigroup has agreed to pay $10.5 million in penalties to settle two enforcement actions involving…
Read MoreThe JOBS Act’s new rules permitting general solicitation and advertising in Rule 506 private placements became effective on September 23, and there…
Read MoreA private placement memorandum sometimes called a PPM is used by private companies in going public transactions and by existing public companies…
Read MoreThe Securities and Exchange Commission announced that it has voted to adopt amendments to certain disclosure requirements that have become duplicative, overlapping, or…
Read MoreThe Securities and Exchange Commission announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to…
Read MorePrivate placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost…
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