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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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 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)…
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SEC 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,…
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SEC 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…
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FBI Brings Securities Fraud Charges in $125 Million Medical Glove Scheme
Securities Lawyer 101 Blog Deepal Wannakuwatte, 63, has been arrested and charged with operating a massive Ponzi scheme that raised over $125…
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Richard Altomare Convicted of Securities Fraud
Securities Lawyer 101 Blog On February 26, 2014, the United States Attorney for the Southern District of Florida, and Federal Bureau of…
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SEC Charges Clean Energy l Securities Lawyer 101
Securities Lawyer 101 Blog On February 25, 2014, the Securities and Exchange Commission (the “SEC”) announced SEC charges against an Arizona-based private…
Read MoreGeorge Louis Theodule Sentenced to 150 Months
Securities Lawyer 101 Blog On February 26, 2014, the United States Attorney for the Southern District of Florida and Federal Bureau of…
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Anthonie R. Sparrow Sentenced in $16 Million Scheme
Securities Lawyer 101 Blog On February 25, 2014, the FBI announced that Anthonie R. Sparrow pled guilty for his role in perpetrating…
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Reverse Mergers l The Game Changers
Shell brokers continue to tout the virtues of reverse merger transactions, despite recent rule changes that eliminate many if not all of…
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Going Public Attorneys
The going public attorneys at Hamilton & Associates Law Group have provided private companies with their going public solutions for more than…
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Registration Statement Lawyers
The securities attorneys at Hamilton & Associates Law Group have provided many private companies with their going public solution. The registration statement…
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Reverse Merger Attorneys
Traditionally, private companies become publicly traded by registering an offering under the Securities Act of 1933, as amended. Reverse Mergers involve backdoor…
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Going Public for Foreign Issuers
Many foreign issuers seek to access the U.S. markets as part of their financing strategy. Foreign issuers that do not wish to…
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Securities & Forensic Attorneys
Pump and dump schemes, false financial statements, Ponzi schemes and other types of white collar crimes cost investors billions of dollars each…
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FINRA Fines Brown Brothers Harriman $8 Million for Compliance Failures
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (FINRA) announced today that it has fined New York-based Brown Brothers Harriman &…
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Reverse Merger Bootcamp l Going Public Attorneys
Securities Lawyer 101 Blog Over recent years, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have overhauled…
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New Proposals To Amend FINRA Rule 5110
Securities Lawyer 101 Blog On January 9, 2014, FINRA submitted proposals to the SEC to amend FINRA Rule 5110. FINRA’s proposals seek…
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SEC Shuts Down 20 Bogus S-1 Registration Statements After Promotion Stock Secrets Research Report
Securities Lawyer 101 Blog On February 3, 2014, the Securities and Exchange Commission (“SEC”) announced the filing of stop order proceedings against 20 purported mining…
Read MoreSEC Charges College Professor, Gonul Colak, in Naked Short Selling Scheme
Securities Lawyer 101 Blog On January 31, 2014, the Securities and Exchange Commission charged two Florida college professors with perpetrating a complex…
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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