SEC Issues Trading Suspension of IMDS By: Brenda Hamilton Attorney
On May 8, 2014, the Securities and Exchange Commission (“Commission”) deems it necessary and appropriate for the protection of investors that public…
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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 Suspends Cannabusiness Group – By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 7, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k)…
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The Laws That Apply to Going Public & Being A Public Company
A private company going public is subject to three federal securities laws, each with its own unique requirements. The three laws are…
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SEC Charges Toronto Consultant and Four Others in China Reverse Merger Schemes
Securities Lawyer 101 Blog On May 5, 2014, the Securities and Exchange Commission charged a Toronto-based consultant and four associates with conducting…
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Securities Lawyers Gone Wild l Allen Ross Smith Charged
Securities Lawyer 101 Blog On May 2, 2014, the Securities and Exchange Commission (“SEC”) charged Florida lawyer Allen Ross Smith with fraud…
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OTC Pink Current Q & A l By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog Companies quoted with the OTC Pink tier are assigned to one of three tiers by the OTCMarkets based…
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FINRA Members to Investigate FINRA U-4 Applicants
Securities Lawyer 101 Blog FINRA approved new rules that require member firms to verify the accuracy of information provided by applicants on FINRA…
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SEC Charges Barry Bekkedam In Connection with Banyon Fund – By: Brenda Hamilton
The Securities and Exchange Commission (the “SEC”) has filed securities fraud charges against Barry Bekkedam of Hobe Sound, Florida. Bekkedam is the…
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Securities Lawyers Gone Wild l Three-Time Felon & Lawyer Indicted
Securities Lawyer 101 Blog On April 6, 2014, Texas attorney Richard Plato was indicted for mail fraud and securities fraud. Plato is…
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Fund Manager Brian Callahan Pleads Guilty In $96 Million Ponzi Scheme
On April 29, 2014, Brian Callahan pleaded guilty to one count of securities fraud and one count of wire fraud for operating…
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New York State Prepares to Regulate Bitcoin By: Brenda Hamilton, Attorney
Securities Lawyer 101.com The New York State Department of Financial Services (NYDFS) has stated that it will consider proposals for a regulated…
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SEC Obtains Preliminary Injunction Against John Babikian
Securities Lawyer 101 Blog On April 20, 2014, the Securities and Exchange Commission (the “SEC”) was granted an injunction imposing an asset…
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SEC Issues Stop Order For Comp Service’s Registration Statement
On April 23, 2014, the Securities and Exchange Commission (“SEC”) issued a stop order to prevent a Northern California-based company from issuing…
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SEC Charges Chris Choi & Poker Player Danny Kuo
On April 23, 2014, the Securities and Exchange Commission(“SEC”) filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped…
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SEC Charges Robert Vitale l Posted by Brenda Hamilton Attorney
Securities Lawyer 101 Blog On April 23, 2014, the Securities and Exchange Commission (“SEC”) filed fraud charges against a former Florida-based stock promoter…
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SEC Charges Hedge Fund Manager
Securities Lawyer 101 Blog On April 4, 2014, the Securities and Exchange Commission filed suit in United States District Court in Dallas,…
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SEC Charges Dr. Loretta Itri with Insider Trading of Genta
Brenda Hamilton, Securities Attorney On April 21, 2014, the Securities and Exchange Commission (the “SEC”) charged a former biopharmaceutical company executive and…
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SEC Guidance on Rule 147 Intrastate Offerings & Crowdfunding
On April 10, 2014, the Securities and Exchange Commission (“SEC”) issued a revised compliance and disclosure interpretation (“C&DIs”) and provided two new…
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Contemporaneous Private & Public Offerings l Going Public Lawyers
Securities Lawyer 101 Blog Issuers often require capital during the going public process for their operations until their registration statement on Form S-1 is…
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Smaller Reporting Companies In Going Public Transactions
Securities Lawyer 101 Blog The Securities Act of 1933, as amended (“Securities Act”) and the Securities Exchange Act of 1934, as amended…
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SEC Brings Insider Trading Charges in Connection With Deepwater Horizon Oil Spill
On April 17, 2014, the Securities and Exchange Commission charged a former employee of BP p.l.c. and a senior responder during…
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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…
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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…
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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…
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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…
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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. …
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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…
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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…
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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:…
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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…
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/