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

SEC Halts Harrison Schumacher In California-Based Oil and Gas Investment Fraud

On August 27th, 2015, the Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze to halt a California-based…

SEC Charges Bank Analyst Ashish Aggarwal With Insider Trading

On August 25th, 2015, the Securities and Exchange Commission (SEC) charged a former investment bank analyst with illegally tipping his close friend…

SEC Obtains Summary Judgment Against Xytos In Securities Fraud

The Securities and Exchange Commission (SEC) announced that on August 24th, 2015, the Honorable Sarah Evans Barker of the United States…

SEC Announces Asset Freeze In EB-5 Offering Scheme

On August 25, 2015, the Securities and Exchange Commission (SEC) announced an asset freeze obtained against a man in Bellevue, Wash., accused…

What is a Penny Stock Email Campaign ?

In our digital age, sensible people know they should be wary of unsolicited financial advice, but there are still many who can’t…

SEC Charges Vincente Garcia Under FCPA

On August 12, the Securities and Exchange Commission (SEC) announced that a former executive at a worldwide software manufacturer has agreed to…

SEC Charges Microcap Stock Promoters

Last month, the Securities & Exchange Commission (SEC) charged a trio of alleged microcap stock promoters with defrauding investors by disseminating promotional…

Regulation D and PPM Lawyers – Going Public

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum. PPM’s are used by private companies …

Signator Investors Settles SEC Charges

On August 13, 2015, the Securities & Exchange Commission (SEC) announced that three Maryland men have agreed to settle charges that they…

What Are Fiduciary Duties? Going Public Attorneys

A fiduciary duty exists where trust and confidence is placed in another. Fiduciary duties arise in many different contexts in securities matters…

Aegis Capital Corporation fined $950,000 By FINRA

Aegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stocks…

Regulation A+ Lawyers & Going Public Attorneys

Regulation A+ is designed to facilitate smaller companies’ access to capital by providing an alternative to direct public offerings/DPO’s and initial public offerings/IPO’s. Regulation…

Going Public Shareholder Requirements l Going Public Lawyers

The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go…

Disclosure Obligations in Regulation A+ Offerings

The Anti-Fraud Provisions And Regulation A+ On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new…

What In The World Is A Security? Going Public Lawyers

A company going public must understand which capital raising methods involve a “security”. A company is only subject to federal and state…

SEC Charges Phillip Kueber – Going Public Attorneys

On July 31, 2015, the Securities and Exchange Commission (the “SEC”) announced it had charged Phillip Kueber, Canadian citizen with conducting a…

Securities Law & Going Public Attorneys

Going public is a big step for any company. The process of “going public” is complex and at times precarious. While…

How Do I Use Regulation A+ to Go Public? Sponsoring Market Maker Attorneys

Regulation A offers investors more investment choices and issuers with more capital raising options during their going public transaction. Some confusion has arisen…

Oppenheimer Employees Settle Penny Stock Charges

On July 23, 2015, the Securities and Exchange Commission (SEC) announced that three former employees of Oppenheimer & Co. Inc. have agreed to…

Regulation A+ Primer – Going Public Attorneys

On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. Regulation A is designed to facilitate smaller…

Regulation A+ Attorneys – Avoid Reverse Mergers

How To Use Regulation A+ To Go Public Without A Reverse Merger On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted…

Regulation A+ Adds Two New Bad Actor Disqualification Triggers

The final Regulation A+ rules amend Rule 262 to include bad actor disqualification provisions as adopted under Rule 506(d) of Regulation D. …

What are SEC Comments? Going Public Attorneys

Securities offerings are regulated by the Securities Act of 1933, as amended, (the “Securities Act”). Section 5 of the Securities Act requires…

SEC Halts Ponzi Scheme Targeting Spanish and Portuguese Communities

On June 30, 2015, the Securities and Exchange Commission (SEC) announced securities fraud charges and an asset freeze against the operators of…

Tweeting Your Regulation A+ Offering – Going Public Attorneys

SEC Provides Guidance For Twitter In Regulation A+ Offerings- Testing the Waters On June 19, 2015, new rules expanding Regulation A became…

A Tale of Two Stings: The Amogear and CitySide Reverse Merger

Down the Rabbit Hole We Go Last year, the Securities and Exchange Commission and the U.S. Attorney for the District of Massachusetts…

Regulation A CD&I Released- Going Public Attorneys

On June 19, 2015, new rules expanding Regulation A became effective. The expanded rule is commonly known as Regulation A+. The new…

Harold BJ Gallison & Others Indicted – Securities Lawyer 101

On July 14,2015, the United States Eastern District of Virginia charged Harold Bailey Gallison aka BJ Gallison, aka Bart Williams (“Gallison”), Michael Randles…

SEC Suspends Smart Ventures, Inc. (SMVR)

On July 14, 2015, the Securities and Exchange Commission (SEC) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…

Trader Who Ate Post-It Notes Settles Insider Trading Case

On July 13, 2015, the Securities and Exchange Commission (SEC) announced a settlement with Frank Tamayo in connection with his SEC cooperation…

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/