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 Action: Silverleaf Financial and Dwight Shane Baldwin Charged

On June 25, 2015, the Securities and Exchange Commission (SEC) filed a civil injunctive action against Silverleaf Financial, LLC and its…

Neal Goyal Sentenced to Six Years For Ponzi Scheme

On July 3, 2015, former investment fund manager, Neal Goyal was sentenced to six years in prison for his role in…

From Congress To The SEC: Get Moving On Crowdfunding

The JOBS Act was signed into law in April 2012. As its full name—the Jumpstart Our Business Startups Act—suggests, its purpose…

Regulation A+ Forms Published- Securities Lawyer 101

On June 19, 2015, Regulation A+ became effective. The new rule imposes certain filing requirements with the Securities and Exchange Commission…

Golfer Convicted of Securities Fraud – Going Public Attorney

On June 17, 20-15, a federal jury convicted amateur golfer, Eric McPhail and Douglas Parigian. McPhail was convicted of conspiracy and…

Exchange Act Registration & Going Public For Foreign Issuers

Foreign companies going public in the United States must file a registration statement covering a class of securities pursuant to the Securities…

The Laws That Apply To Going Public & Being Public

The first laws that apply to going public transactions are contained in the Securities Act of 1933 (the “Securities Act”). The Securities Act…

When Can Public Companies Use Social Media? Going Public Lawyers

Securities Lawyer 101 Blog The use of social media is a growing concern with new exemptions that allow issuers to engage in…

Going Public: Pros and Cons- Going Public Lawyers

A Going Public Lawyer is an important part of the overall going public process. A Going Public Lawyer in the beginning…

Going Public Attorneys & Drafting Disclosures – Securities Lawyers

A going public attorney is one of the most important participants in the going public process. The going public attorneys at Hamilton & Associates Law Group have…

Going Public Lawyer- DPO Attorney- Brenda Hamilton

Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to…

Nicholas Lattanzio Charged in Hedge Fund Fraud

On June 10, 2015, the Securities and Exchange Commission announced that it had charged Nicholas Lattanzio, the manager of Black Diamond Capital…

OTC Markets Prepares For Regulation A+ – Going Public

On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A. The new rules, known as “Regulation A+,” update…

The SEC’s Pay Versus Performance Proposals

The proposals require SEC reporting companies to disclose the relationship between compensation “actually paid” to their named executive officers and the company’s…

Who Can Conduct A Regulation A+ Offering? Going Public

On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A known as Regulation A+. Regulation A+ was adopted…

Raising Capital: Equity Offerings v. Debt Offerings

Both private and public companies seeking to raise capital by selling securities, do so by offering either debt or equity securities…

States Challenge Regulation A+ – Securities Offerings

The recent amendments to Regulation A (often called Regulation A+) provide a manageable exemption for raising capital. The exemption can be used by…

SEC Freezes Profits From Avon Stock Manipulation Scheme

On June 4, 2015, the Securities and Exchange Commission (SEC) announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes…

What is a Reverse Stock Split? Securities Lawyer 101

Securities Lawyer 101 Blog Reverse stock splits are often used by public companies to reduce the amount of securities outstanding. A reverse…

BrokerCheck Announces PR Campaign

On June 1, 2015, the Financial Industry Regulatory Authority (FINRA) announced that it had launched a campaign promoting BrokerCheck (brokercheck.finra.org). BrokerCheck allows…

Retired Teachers Scammed In Ponzi Scheme

On June 1, 2014, the Securities and Exchange Commission (SEC) announced it had brought charges in a Ponzi Scheme. According to the…

SEC Charges Four With Insider Trading Ahead of Secondary Offerings

On June 3, 2015, the Securities and Exchange Commission announced insider trading charges against four individuals stealing confidential information from investment banks…

Boiler Rooms Booming In 2015

Over the past few weeks, we have had multiple requests from investors to review information they received after calls from boiler room…

Securities And Exchange Commission Announces Agenda

On May 28, 2014, the Securities and Exchange Commission released the agenda for its Advisory Committee on Small and Emerging Companies meeting…

SEC Inquiries and Investigations

The SEC’s Enforcement Division conducts investigations pursuant to formal Orders of Investigation that authorize the staff of the Enforcement Division to seek the…

Receiver Appointed in North Dakota Developments Ponzi Scheme

We’ve so far written twice about North Dakota Developments (“NDD”), a real estate Ponzi scheme operated by Daniel J. Hogan and Robert…

Douglas Parigian Pleads Guilty in Amateur Golfers Scheme

On May 13, 2015, the Securities and Exchange Commission (SEC”) announced that Douglas Parigian pled guilty to criminal charges of conspiracy and securities…

EDGAR Prepares For Regulation A+ – Going Public Attorneys

The SEC’s EDGAR system is being updated to prepare for Regulation A+. On April 23, 2015, the SEC adopted changes to Volume…

SEC Says North Dakota Developments Is A Ponzi Scheme

On May 5, 2015, the Securities and Exchange Commission (“SEC”) obtained a temporary restraining order against North Dakota Developments, LLC (“NDD”), Robert…

Morgan Stanley Fined $2 Million for Short Sale & Short Interest Reporting

On May 3, 2015, The Financial Industry Regulatory Authority (FINRA) announced it has fined Morgan Stanley & Co. $2 million for short…

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/