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…
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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.
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SEC Halts Advance Fee Scam Targeting Home Building Industry
On May 15, 2015, the Securities and Exchange Commission (SEC) announced charges and an emergency asset freeze in an alleged advance fee…
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Steven Palladino Pleads Guilty to Criminal Contempt for Violating SEC Orders
On May 14, 2015, the Securities and Exchange Commission (SEC) announced that, Steven Palladino pled guilty to 25 counts of criminal contempt…
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Three SEC Stop Orders, One Mystery? Going Public Attorneys
On May 11, 2015, the Securities and Exchange Commission (“SEC”) instituted administrative proceedings against two penny stock companies, Visual Acumen, Inc., and…
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What is a Sponsoring Market Maker? Going Public Attorneys
The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry…
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FINRA Halts Trading in Riviera Tool Company
Moving with unusual speed, the Financial Industry Regulatory Authority (FINRA) halted trading in Riviera Tool Company (RIVT) after the closing bell on…
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Securities Lawyers Gone Wild – John Briner Criminally Charged
The walls are closing in on former securities attorney John Briner. In the past two months, he’s been criminally charged in the…
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Rule 144 Legal Opinions Q & A – Going Public Securities Lawyers
The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities…
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Private Placement Memorandums Q & A – Going Public Lawyers
A Private Placement Memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum. PPM’s are used by private companies in…
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What is in a Regulation A 1-A Offering Circular?
On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a)…
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Massachusetts Adopts Emergency Crowdfunding Exemption
The Massachusetts Division of Securities has adopted an emergency intrastate crowdfunding exemption. The new exemption was developed to stimulate job growth for…
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FINRA Proposes New Rules For Algorithmic Trading Strategies
FINRA is proposing new rules that will impact algorithic trading strategies. If an individual performs a trade on another person’s behalf, that associated…
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Cashflowbot.com Operator Charged In Ponzi Scheme
On April 14, 2015, the operator of a website at Cashflowbot.com was charged in a ponzi scheme. According to the SEC charges,…
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SEC Issues Trading Suspensions of 25 Issuers
On April 10, 2015, the Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of the following…
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OTC Markets OTC Pink Sheets Q & A – Going Public Lawyers
Posted By Brenda Hamilton, Securities Lawyer In May of 2014, the OTC Markets Group approved new listing requirements for companies seeking quotation…
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What State Laws Apply To Regulation A+ Offerings?
On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a)…
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Big Apple Consulting, Mark Jablon and Mark Kaley Lose Appeal
On April 9, 2015, the U.S. Court of Appeals for the Eleventh Circuit upheld a lower court’s ruling in the U.S. Securities…
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Jonathan Bryant Ordered to Pay Over $3 Million For 8000 Inc Scam
The Securities and Exchange Commission (the “SEC”) announced that on April 7, 2015, the U.S. District Court for the Southern District of…
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Going Public With Regulation A+ – Going Public Attorneys
On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A pursuant to the mandate of Section…
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SEC Charges Vadda Energy Corporation With Oil And Gas Fraud
On April 10, 2015, the Securities and Exchange Commission (“SEC”) charged Mieka Energy Corporation, and its founder and president Daro Ray Blankenship,…
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SEC Obtains Officer-Director and Penny Stock Bar Against Michael Cohen
On March 6, 2015, the Securities and Exchange Commission (“SEC”) announced that the United States District Court of New Jersey entered a…
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SEC Issues Trading Suspension of Triumph Ventures – TRVX
On April 10, 2015, the Securities and Exchange Commission (“SEC”) announced the trading suspension, pursuant to Section 12(k) of the Securities Exchange…
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SEC Approves FINRA Rule Allowing Transaction Based Compensation
The Securities and Exchange Commission (“SEC”) recently approved Rule 2040 proposed by the Financial Industry Regulatory Authority (“FINRA”) which applies to the payment…
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SEC Issues Trading Suspension of eCareer Common Shares
On April 8, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary trading suspension of eCareer Holdings, Inc. of Boca Raton…
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SEC Charges Brian Polito With Oil and Gas Fraud
The Securities and Exchange Commission (“SEC”) Division of Enforcement filed suit against GC Resources, LLC and Brian J. Polito for oil and…
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OTC Markets Q & A – Going Public Lawyers
Posted By Brenda Hamilton, Securities Lawyer The OTC Markets offer several different tiers for companies to choose from when considering their services.…
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Broker Turned Bank Robber Sanctioned by the SEC
The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”) regularly discipline errant brokers and financial advisers, but Leonard…
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SEC Subpoenas 101 – Securities Attorneys
Receiving a Securities and Exchange Commission (“SEC”) subpoena is a new and uncomfortable experience for most market participants. A SEC subpoena is…
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Direct Public Offering Q & A – Going Public Lawyers
Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to…
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Brenda Hamilton Featured By Intuit About Direct Public Offerings and Going Public
Intuit Inc., a provider of small business software solutions, including QuickBooks, tackles accounting, taxes, budgets, and personal finances with TurboTax. Quicken featured…
Read MoreBlogroll & Resources
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/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://ppe.securitieslawyer101.com/securities-law-video-series/