CANN Settles Lawsuit Against Stephen Calandrella
On September 25, 2014, Advanced Cannabis Solutions, Inc. (“CANN”) sued Stephen G. Calandrella, one of the company’s biggest investors. Though that may…
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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 Charges Treaty Energy, Management & Attorney
On December 15, 2014, Securities and Exchange Commission (the “SEC”) charged Treaty Energy Corporation, Ronald L. Blackburn, Andrew V. Reid, Bruce A.…
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Doug Furth Indicted in Kickback Scheme
On December 12, 2014, the Securities and Exchange Commission (“SEC”) filed a civil injunctive action in the United States District Court for the…
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SEC Sanctions Firms For Lack of Auditor Independence
On December 8, 2014, the Securities and Exchange Commission (the “SEC”) sanctioned eight firms for violating auditor independence rules when they prepared…
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SEC Sanctions Bitcoin Stock Exchange Operator
On December 8, 2014, the Securities and Exchange Commission (the “SEC”) announced sanctions against a computer programmer for operating two online…
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Section 3(a)(10) l The Paper Crime Exemption
Section 3(a)(10) of the Securities Act of 1933 (the “Securities Act”) provides an exemption from registration that permits a company to issue…
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SEC Targets Another Promoter In a Reverse Merger Scheme
Securities Law Blog The Securities and Exchange Commission (the “SEC”) charged another promoter in connection with a reverse merger issuer. Matthew Carley, a penny…
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SEC Charges Traders Cafe Founders As Unregistered Brokers
The Securities & Exchange Commission (the “SEC”) announced securities fraud charges against Albert J. Scipione and Matthew P. Ionno who they allege pursued investors…
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Executives of Assisted Living Concepts Charged with Fraud
Securities Law Blog On December 3, 2014, the Securities and Exchange Commission (the “SEC”) announced securities fraud charges against Laurie Bebo and…
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Moving On Up To The OTC Pink Current – OTC Markets Lawyers
Companies quoted on the OTC Markets with an OTC Pink tier fall into one of three categories. These are identified on www.otcmarkets.com as current…
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FINRA’s OTCBB Replacement To Report Six Digit Trade Prices
Securities Lawyer 101 Blog Recently, the Financial Industry Regulatory Authority (“FINRA”) announced its intention to shut down the OTCBB.com website it had…
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The SEC Pursues Shell Packer, Joseph Meuse
Securities Law Blog On November 25, 2014, the Securities & Exchange Commission (“SEC”) announced administrative proceedings against Joseph Meuse pursuant to Section…
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Feds to Auction Silk Road Bitcoins Belonging to Ross William Ulbricht
Last week, the US Marshals Service announced that it will hold an auction on December 4, to sell 50,000 bitcoins that belong…
Read MoreTrends in Bitcoin Regulation
Securities Law Blog On October 27, 2014, FinCEN issued two administrative rulings to companies seeking…
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SEC Censures Eureeca.com For Selling To US Investors
Securities Law Blog On November 12, 2014, the Securities and Exchange Commission (the “SEC”) censured Eureeca.com, a Cayman Islands-based crowdfunding website for…
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SEC Suspends Trading in Ebola Tickers
The Securities and Exchange Commission (the “SEC”) suspended trading in four companies that claim to be developing products or services in response…
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SEC Charges Eric Van Nguyen, Jay Fung and Anthony Thompson
On November 17, 2014, the Securities and Exchange Commission (the “SEC”) charged three penny stock promoters with conducting pump-and-dump schemes involving stocks…
Read MoreJoseph Noel Charged In Stock Scalping Scheme
Securities Lawyer 101 Blog On November 17, 2014, the Securities and Exchange Commission (the “SEC”) charged Joseph Noel, the Chief Executive Officer…
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Offshore Crowdfunding Portals Are Not Shielded From Liability Under U.S. Securities Laws
The SEC’s recent Cease and Desist order against Eureeca Capital demonstrates that we may begin to see enforcement activity involving offshore crowdfunding…
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FINRA Investor Survey Reveals Support for Regulatory Protections
Securities Law Blog The Financial Industry Regulatory Authority (FINRA) recently released a survey of U.S. investors designed to measure perceptions of fairness…
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CFTC Addresses the Use of Rule 506 By Commodity Pool Operators
Securities Law Blog The Commodity Futures Trading Commission (the “CFTC”) recently issued an Exemptive Relief letter No. 14-116 allowing certain operators of…
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FINRA Addresses Confidentiality Provisions In Notice 14-40
Securities Law Blog In FINRA Regulatory Notice 14-40, members are cautioned that it is a violation of FINRA Rule 2010- Standards of…
Read MoreNASDAQ Submits Proposals Requiring Public Disclosure of Denied Listing Applications
On October 30, 2014, NASDAQ submitted a proposal addressing initial NASDAQ listing applications. The proposals include that a company could withdraw its…
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Medbox, Inc. Announces SEC Investigation
Securities Lawyer 101 Blog On November 12, 2014, Medbox, Inc. (MDBX) put an end to nearly two weeks of speculation by acknowledging…
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Belizean Judge Removes Asset Freeze in Robert Bandfield Case
On November 10, 2014, Belizean Chief Justice Kenneth Benjamin ordered the removal of a freeze on accounts owned by six defendants in…
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Second Incarnation of Silk Road Bitcoin Shop Shut Down
On November 6, 2014, U.S. District Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation (“FBI”) and…
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What is an Investment Newsletter?
Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) recently issued an Investor Alert warning about the use of investment newsletters…
Read MoreHow Form S-1 and Form 10 Registration Statements Are Different
Going public often refers to the process of a company filing a registration statement under the Securities Act of 1933, as amended…
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SEC Sanctions 10 Issuers for Form 8-K Failures
On November 5, 2014, the Securities and Exchange Commission (the “SEC”) announced enforcement actions against 10 companies for failing to file Current…
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The SEC Investigates Bitcoin Companies
Bitcoin blogs have been buzzing recently with news of an SEC investigation into cryptocurrency companies that the agency apparently believes have engaged…
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/Go Public 101
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://www.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://www.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://www.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://www.securitieslawyer101.com/securities-law-video-series/