What is a Finder?
Securities Lawyer 101 Blog It is not unusual for a private or public company to be approached by person (“Finder”) who offers to locate…
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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 Continues Trading Suspensions to Prevent Reverse Merger Custodianship Fraud
On March 21, 2014, the Securities and Exchange Commission (the “SEC”) announced the trading suspension of trading of the following issuers, commencing…
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SEC Suspends Petrotech Oil and Gas l Securities Lawyer 101
On March 14, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…
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Securities Lawyer 101 Announces Redesigned Securities Law Blog
Securities Lawyer 101 Blog Hamilton & Associates, a law firm providing going public and securities related legal services announces its newly designed securities…
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Albert Reda Sentenced to 26 Months
Securities Lawyer 101 Blog Albert Reda, the former treasurer and chairman of the board of directors of First Global Financial Corporation, was…
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Offering Price & Dilution Disclosures in Registration Statements
Securities Lawyer 101 Blog Companies going public have several options in how to structure their transaction when filing a Form S-1 registration…
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Use of Proceeds In Form S-1 Registration Statements
Companies going public have several options in how to structure their transaction when registering securities with the Securities and Exchange Commission (“SEC”). …
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Securities Lawyers Gone Wild l Russell Adler Charged
On March 7, 2014, Russell Adler, a former name partner in Scott Rothstein’s now-defunct law firm was criminally charged for funneling illegal…
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What Are the Reporting Obligations After My Form S-1 ls Effective?
Once the SEC staff declares your company’s Securities Act registration statement effective, the company becomes subject to Exchange Act reporting requirements. These…
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John Babikian & Awesome Penny Stocks Charged in Scalping Scheme
Securities Lawyer 101 Blog On March 13, 2014, the Securities and Exchange Commission (“SEC”) announced fraud charges and an emergency asset freeze…
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What is Form S-1 Summary Information? Securities Attorney 101
Securities Lawyer 101 Blog Form S-1 is the most commonly used registration statement statement filing with the Securities and Exchange Commission (“SEC”). This…
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Wwebnet CEO Pleads Guilty of $2 Million Securities Fraud
On March 11 ,2014, the Department of Justice announced that Robert Kelly, the chief executive officer of Wwebnet, Inc. (“Wwebnet”), a software…
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Status of JOBS Act Rules & Proposals
The Jumpstart Our Business Startups Act (or JOBS Act) (“JOBS Act”), enacted in 2012, is intended, among other things, to reduce barriers…
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SEC Announces $7.2 Million for Rule 105 Short Selling Violations
Securities Lawyer 101 Blog On March 8, 2014, the Securities and Exchange Commission announced the largest-ever monetary sanction for Rule 105 short…
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The Intrastate Exemption l Section 3(a)(11)
Securities Lawyer 101 Blog Section 3(a)(11) of the Securities Act is generally known as the “intrastate offering exemption.” The exemption is sometimes…
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SEC Suspends Global Earth Energy l Securities Lawyer 101
Securities Lawyer 101 Blog On March 4, 2014, the Securities and Exchange Commission (“SEC”)announced the temporary suspension, pursuant to Section 12(k) of…
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SEC Suspends Broadcast Live Digital l Securities Lawyer 101
Securities Lawyer 101 Blog On March 4, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k)…
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SEC Suspends Suburban Minerals Corp
Securities Lawyer 101 Blog On March 4, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k)…
Read MoreSEC Obtains Summary Judgment Against StratoComm Penny Stock Defendants
Securities Lawyer 101 Blog On February 19, 2014, the United States District Court for the Northern District of New York in Albany,…
Read MoreSEC Charges Dewey & LeBoeu Executives with Securities Fraud
Securities Lawyer 101 Blog On March 6, 2014, the Securities and Exchange Commission (“SEC”) announces charges against five executives at Dewey &…
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SEC Shuts Down Pyramid Scheme Using Phony Companies l Securities Lawyer 101
Securities Lawyer 101 Blog On March 5, 2014, the Securities and Exchange Commission (“SEC”) announced an emergency enforcement action to stop a…
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What are the OTC Markets Reporting Requirements?
Securities Lawyer 101 Blog Unlike securities listed on stock exchanges such as NASDAQ or the NYSE, securities may trade through the OTC…
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SEC Announces Trading Suspension of Aventura Equities
Securities Lawyer 101 Blog On March 5, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary trading suspension, pursuant to Section…
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How Can I Remove a DTC Chill Or Global Lock? Securities Lawyer 101
Securities Lawyer 101 Blog DTC Chills and global locks continue to be a growing problem for small companies. The Depository Trust and…
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Jerry Williams AKA Monk Ordered to Pay Over $9,600,000
Securities Lawyer 101 Blog On February 12, 2014, the Securities and Exchange Commission (“SEC”) announced that a Connecticut federal court entered judgments…
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What Is a Naked Short Sale? Securities Lawyer 101
Securities Lawyer 101 Blog The Short Seller Scape Goat In recent years, the activities of short sellers have been the subject of…
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Investor Relations & General Solicitation After the JOBS Act
Securities Lawyer 101 Blog Investor relations also known as stock promotion involves the publication of information about a public company to increase…
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The SEC Speaks About the Registration Statement Process
Securities Lawyer 101 Blog The Securities and Exchange Commission recently announced the issuance of Commissioner Elisse B. Walter’s statement, “The Commission’s Registration Process: How…
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SEC Suspends Trilliant Exploration
Securities Lawyer 101 Blog On February 28, 2014, the Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k)…
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OTCQX Proposes Amendments to its OTCQX Rules
Securities Lawyer 101 Blog On February 13, 2014, the OTC Markets proposed amendments to its OTCQX rules. The will impact US and…
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
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