Investor Relations Firm Employee Michael Lucarelli Indicted
Securities Law Blog On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony…
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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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What Are EB-5 Offering Requirements? Going Public Lawyer
Securities Lawyer 101 Blog The EB-5 offering visa program grants foreign investors a green card for themselves and their immediate family in…
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Social Media and Being Publicly Traded
Securities Lawyer 101 Blog Publicly traded companies are increasingly using their company websites and the social media to communicate information to the…
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Preparing and Filing SEC Form D
Securities Law Blog Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) provides exemptions that permit a company…
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Going Public Attorneys Helping Issuers
Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going public offers many…
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How Does the JOBS Act Benefit A Foreign Issuer?
Securities Lawyer 101 Blog As the Securities and Exchange Commission (“SEC”) finishes the rule making that provides a structure for full implementation…
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Section 16 Reporting & Going Public Transactions
Once the SEC staff declares a company’s Form S-1 registration statement effective in a going public transaction, the company becomes subject to Exchange Act…
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Reefer Madness – More Indicted In Pot Stock Scams
Securities Lawyer 101 Blog On August 5, 2014, the Attorney’s Office for the Western District of Washington announced criminal charges against Mikhail…
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Court Awards SEC Judgments Of Almost $70 Million Against Defendants
Securities Law Blog On August 9, 2014, the SEC announced that the U.S. District Court for the Eastern District of Tennessee issued…
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Crucible Capital and Chuck Moore Indicted for Obstructing SEC Investigation
On August 9, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Chuck Moore and Crucible Capital Group, a New…
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SEC Charges Julian Brown and Bahamian Brokerage Firm, Alliance Investment Management
Securities Law Blog On August, 8, 2014, the Securities and Exchange Commission (“SEC”) announced charges against Julian Brown and his firm Alliance…
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What Are Seed Stockholders? Going Public Lawyer
Securities Lawyer 101 Blog The going public process involves a number of steps that vary depending on the characteristics of the private…
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Prospectus Disclosure Requirements – Going Public Attorneys
The prospectus is the most important document of a public offering. The prospectus is the document provided to investors in the issuer’s offering.…
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Officer and Director Disclosure of Background Matters
Securities Lawyer 101 Blog The securities laws require that public companies provide disclosure about the backgrounds of its officers and directors and…
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SEC Comment and Review Process l Going Public Bootcamp
Securities Lawyer 101 Blog The Securities and Exchange Commission’s (the “SEC’s“) Division of Corporation Finance reviews filings including registration statements filed pursuant…
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Can I Raise Money From Investors Who Are Not “Accredited Investors”? Introducing The Slo-PO Method
Securities Law Blog A question we frequently receive from entrepreneurs raising capital for the first time is whether can raise money from…
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Investor Relations Providers Indicted For Growlife and Hemp, Inc. Pumps
Three investor relations providers have been indicted for manipulating the securities of several microcap companies, including two marijuana-related stocks, Growlife and Hemp,…
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Rule 147 l The Intrastate Exemption
Securities Lawyer 101 Blog Section 3(a)(11) of the Securities Act of 1933, as amended (“Securities Act”), is generally known as the “intrastate…
Read MoreKevin McKnight and Company He Promoted Charged With Fraud
Securities Lawyer 101 Blog On August 4, 2014, the Securities and Exchange Commission (“SEC”) announced an administrative proceeding against Kevin McKnight and…
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Rule 144 Legal Opinion Checklist l Securities Lawyer 101
Securities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be…
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What is a Penny Stock Bar? Securities Lawyer 101
To understand penny stock bar, it is necessary to be familiar with the definition of penny stock. Many penny stock market participants…
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State Blue Sky Laws & Securities Regulators
Securities Lawyer 101 Blog The Securities and Exchange Commission (the “SEC”) is the federal agency that regulates the securities industry. In addition…
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FINRA Seeks to Make Form 211 Information Publicly Available
Securities Lawyer 101 Blog FINRA is soliciting comment on its proposal to make publicly available through FINRA’s website a repository of Form…
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SEC Charges CEO & CFO with Sarbanes-Oxley Violations
Securities Lawyer 101 Blog On July 31, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Marc Sherman, the CEO…
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Whistleblowers Gone Wild
Nearly everyone believes the Securities and Exchange Commission’s Whistleblower Program under the Dodd Frank Act is a good idea. By the agency’s account,…
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Securities Lawyers Gone Wild – Bernard Butts
Securities Lawyer 101 Blog On July 15, 2014, the Securities and Exchange Commission announced that a federal judge ordered a Miami-based attorney…
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Frank Speight and International Stock Transfer Charged
Securities Lawyer 101 Blog On July 24, 2014, the Securities and Exchange Commission (the”SEC”) and Department of Justice announced charges against Frank-Speight (Cecil Franklin…
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Carolyn Winsor Apprehended by U.S. Authorities
Securities Lawyer 101 Blog On June 27, 2014, Caroline Winsor, also known as Caroline Meyers and Caroline Danforth was apprehended and is in…
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What is a Confidential Treatment Request?
An issuer filing a registration statement with the Securities and Exchange Commission (the “SEC”) that desires to keep certain information confidential and…
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The SEC’s Oversight of the Registration Statement Process
Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) is the key regulator of going public transactions, securities offerings and securities…
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