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 Charges Telexfree in Pyramid Scheme Immigrants l By Brenda Hamilton Attorney

Securities Lawyer 101 Blog On April 17, 2014, the Securities and Exchange Commission (the “SEC”) announced it filed charges against the Massachusetts-based…

The Use of Testimonials in Social Media by Investment Advisers

Generally, SEC rules prohibit investment advisers from using testimonials in their advertisements. In the past several years, the SEC has encountered a…

Forex Scams 101 l Brenda Hamilton, Attorney

Securities Lawyer 101 Blog The Commodity Futures Trading Commission (CFTC) and the North American Securities Administrators Association (NASAA) warn that off-exchange forex…

Section 302 and 906 Certifications l Brenda Hamilton Attorney

Securities Lawyer 101 Blog Chief Executive Officers (“CEO”) and Chief Financial Officers (“CFO”) of public companies must certify the issuer’s annual report…

The Laws That Apply to Finders l Securities Lawyer 101

Securities Lawyer 101 Blog Companies seeking capital are frequently approached by finders who offer to locate investors in exchange for a fee. …

U.S. Issues Indictment Against Caribbean Money Laundering Operators

Securities Lawyer 101 Blog Joshua Vandyk, a U.S. citizen, and Eric St-Cyr and Patrick Poulin, Canadian citizens, were indicted for conspiracy to…

Summary Financial Information in Form S-1 Registration Statements

Securities Lawyer 101 Blog Under the JOBS Act, an Emerging Growth Company may provide two years of summary financial information in its SEC…

Form S-1 Risk Factor Disclosures l Securities Lawyer 101

Securities Lawyer 101 Blog The Securities Act of 1933 is often called the “truth in securities” law. It has two basic objectives:…

SEC Suspends Grow Life l PHOT

Securities Lawyer 101 Blog On April 10, 2014, the U.S. Securities and Exchange Commission (“SEC”) announced the trading suspension, pursuant to Section…

Beware of False Claims About Registration Statements

Securities Lawyer 101 The SEC issued a recent investor alert to warn the public about potentially fraudulent investment schemes that involve individuals…

Criminal Prosecution in Corporate Hijackings

Securities Lawyer 101 Blog The Justice Department has selectively pursued criminal charges against fraudsters using corporate hijackings for illegal takeovers of publicly traded…

Corporate Hijackings & The Assault On Small Companies

Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a…

SEC Charges Joseph Signore in Ponzi Scheme

Securities Lawyer 101 Blog On April 8, 2014, the Securities and Exchange Commission announced fraud charges and an asset freeze against the operators…

SEC Charges Empire Stock Transfer l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog On April 8, 2014, the Securities and Exchange Commission announced enforcement actions against two leaders at a Las…

SEC Settles Fictitious Offering Case Against Mia Baldassari

Securities Lawyer 101 Blog The Securities and Exchange Commission (SEC) announced that on March 4, 2014, Judge Rosemary Collyer entered a final…

SEC Charges Firm with Spoofing & Layering

Securities Lawyer 101 Blog On April 4, 2014, the Securities and Exchange Commission charged Joseph Holmdel and others, including a New Jersey based…

SEC Charges Two Friends With Insider Trading of Chicago Bridge & Iron

Securities Lawyer 101 Blog On April 4, 2014, the Securities and Exchange Commission charged two friends with insider trading on confidential information…

SEC Charges Two With Insider Trading

Securities Lawyer 101 Blog On March 31, 2014, the Securities and Exchange Commission (“SEC”) announced two separate cases against men who profited…

Promoters Indicted in Connection with Super Nova Resources

On April 1, 2014, United States Attorney Zane David Memeger announced an indictment charging a market manipulation scheme against six defendants in connection…

SEC Director Keith Higgins Addresses Rule 506 (c)

Securities Lawyer 101 Blog On March 28, 2014, Keith Higgins, the Director of the SEC’s Division of Corporation Finance, delivered a speech…

Securities Lawyers Gone Wild l John Silvia Indicted

Securities Lawyer 101 Blog On March 28, 2014, the FBI announced that John Silvia, 55, purportedly the “managing member” of Richardson Consulting…

What is a Wells Notice ? Securities Lawyer 101

Securities Lawyer 101 Blog After the staff of the Securities and Exchange Commission (“SEC”) Division of Enforcement staff has completed its investigation, it may…

SEC Charges L&L Energy and Its Managment

Securities Lawyer 101 Blog On March 27, 2014, the Securities and Exchange Commission announced fraud charges against a Seattle-headquartered coal company, L&L…

SEC Suspends Advanced Cannabis Solutions

On March 27, 2014, the Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…

OTCQB Fees & Listing Requirements

OTC Markets Group has announced it is making significant changes to its OTCQB. Companies seeking to be quoted on the OTCQB will…

Whistleblower Awarded $64 Million in JPMorgan Case

A former JPMorgan Chase employee, Keith Edwards, is about to receive nearly $64 million for whistleblowing. Much has been written recently about…

How Can I Invest In An EB-5 Offering? Going Public Lawyers

The EB-5 investor visa program has become increasingly popular since Rule 506 (c) became law, allowing issuers to advertise their offerings to…

Reverse Merger and Public Float Scams l Securities Lawyer 101

Securities Lawyer 101 Blog When companies go public, insiders often employ various mechanisms to control the company’s free trading shares also known…

Hamilton & Associates to Publish OTC Pink Paper Series

Securities Lawyer 101 Blog BOCA RATON, Fla., March 21, 2014 /PRNewswire/ — Due to the fundamental changes in 2013 that continue to shape the…

SEC Suspends Citadel After Pumps and Dumps Report

Securities Lawyer 101 Blog On March 21, 2014, the Securities and Exchange Commission issued a trading suspension pursuant to Section 12(k) of…

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/