David Kevin Lewis Sentenced to 30 Years for Oil and Gas Fraud
On January 24, 2014, a Texas court sentenced David Kevin Lewis, 52, to 30 years in federal prison for 23 counts of…
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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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Felon Barry Minkow Becomes Pastor and Cons Church Congregation Out of Millions
Securities Lawyer 101 Blog Last week, Barry Minkow pleaded guilty to embezzling funds from the San Diego Community Bible Church, a U.S.…
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SEC Provides Additional Guidance For Rule 506(c) Offerings
Securities Lawyer 101 Blog On January 23, 2014, the Securities and Exchange Commission (the “SEC”) issued new guidance concerning Rule 506(c) in…
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What Is Caveat Emptor? Going Public Lawyers
Securities Lawyer 101 Blog The Latin phrase Caveat Emptor means “let the buyer beware.” The application of the Caveat Emptor principle is…
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Steven Palladino Sentenced to 10-12 Years
Securities Lawyer 101 Blog On January 24, 2014, the Securities and Exchange Commission (“SEC”) announced that a Massachusetts state court judge sentenced…
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SEC Target Held In Contempt and Arrested
Securities Lawyer 101 Blog On January 23, 2014, the Securities and Exchange Commission (“SEC”) announced that a Staten Island man who was…
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Investment Advisor Impersonates Angel Investors to Get Clients
Securities Lawyer 101 Blog Kimberly Fontenot of Texas has been convicted of defrauding clients of her so-called investment advisory firm, Stellar Grants…
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Art Scammers Busted by FBI
Securities Lawyer 101 Blog On January 16, 2014, a federal grand jury in San Jose returned a 12-count indictment charging two antique…
Read MoreSEC Charges Senior Management of Veolia with Falsifying Financial Records
Securities Law 101 Blog On January 14, 2014, the Securities and Exchange Commission filed a civil injunctive action in federal district court…
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Joseph Meuse & Belmont Partners Barred, Enjoined and Fined
Securities Lawyer 101 Blog On January 10, 2014, the Securities and Exchange Commission (“SEC”) announced a $300,000 settlement against Belmont Partners LLC,…
Read MoreFINRA Suspends and Fines Thomas Mikolasko
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) recently suspended and fined Advisor Thomas Mikolasko, (“Mikolasko”) of HFP Capital Markets…
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What Are the Benefits of Foreign Issuer Status in Going Public Transactions?
Securities Lawyer 101 Blog A private foreign company seeking to go public may be classified as a U.S. domestic issuer or…
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What Are Regulation Crowdfunding Disclosures?
Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) proposed Regulation Crowdfund, setting forth the rules governing the…
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Regulation Crowdfund For Investors
Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) proposed Regulation Crowdfund, setting forth the rules governing…
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How Does the JOBS Act Benefit Foreign Issuers? Going Public Lawyers
Securities Lawyer 101 Blog The JOBS Act offers incentives for foreign issuers seeking to go public and enter the U.S. capital markets…
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What is a Bad Actor Under Regulation D?
Securities Lawyer 101 Blog On January 3, 2014, the Securities and Exchange Commission (the “SEC”) released Compliance and Disclosure Interpretations. The release…
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Regulation Crowdfunding for Intermediaries
Securities Lawyer 101 Blog Regulation Crowdfunding provides for two types of intermediaries, the registered broker-dealer and the funding portal. Broker-dealers do not…
Read MoreFINRA Orders Stifel, Nicolaus and Century Securities to Pay $1 Million
Securities Lawyer 101 Blog On January 9, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it ordered two St. Louis-based broker-dealers, Stifel,…
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SEC Announces 2014 Examination Priorities
Securities Lawyer 101 Blog On January 4, 2014, the Securities and Exchange Commission (“SEC”) announced its examination priorities for 2014, which cover…
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SEC Issues New Rule 506 Guidance
Some of the shareholders of a Rule 506 issuer have entered into a voting agreement under which each shareholder agrees to vote…
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Senators Request Pre-Filing of Form D
Securities Lawyer 101 Blog A fundamental principle of the federal securities laws is that the purchase or sale of a security must…
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FINRA Develops System To Red Flag Customer Accounts
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority is seeking comments about its Comprehensive Automatic Risk Data System (CARDS) that would…
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How Regulation M Impacts Securities Offerings – Going Public Lawyers
Securities Lawyer 101 Blog Recently, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued guidance concerning Rule 105 (“Rule 105”) of…
Read MoreHow Do I Resell Restricted Stock Under Rule 144? l Securities Lawyer 101
Securities Lawyer 101 Blog It has become routine for public companies and private companies going public to mark their stock certificates with “Restrictive Legends”.…
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Going Public in 2023
For many private companies, “going public” is about more than just raising capital. It’s a sign of accomplishment. Direct public offering (“DPO”)…
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Celebrity Broker Bambi Holzer Barred by FINRA
Securities Lawyer 101 Blog Bambi Holzer, an author and former registered broker to numerous celebrities has been barred by Financial Industry Regulatory…
Read MoreSEC Seeks Comment On DTC Proposals
Securities Lawyer 101 Blog On December 18, 2013, the SEC published a notice to solicit comments concerning The Depository Trust Company’s (“DTC”)…
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SEC Charges Caroline Winsor l Securities Lawyer 101
Securities Lawyer 101 Blog The SEC has charged Caroline Winsor, a Canadian stock promoter, Richard Walchuk, the president and Chief Executive Officer…
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SEC Charges Lance Berger l Securities Lawyer 101
Securities Lawyer 101 Blog According to the SEC, in December 2012, Lance Berger, a stock promoter for several penny stock companies, including…
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The SEC Suspends The Enlightened Gourmet Inc.
Securities Lawyer 101 Blog On December 10, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension of trading in the…
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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.
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