Securities Law and Going Public Blog

Blog

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

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 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…

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…

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…

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…

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…

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…

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…

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”). …

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…

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…

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…

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/