SEC Charges Tibor Klein and Michael Shechtman With Insider Trading
Securities Lawyer 101 Blog Continuing its crackdown on violators of insider trading laws, on September 20, 2013 the Securities and Exchange Commission…
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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 Charges ImageXpres and John and Kevin Zankowski With Securities Fraud
Securities Lawyer 101 Blog On September 25, 2013, the Securities and Exchange Commission (“SEC”) charged ImageXpres Corporation (ImageXpres), its CEO and president…
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SEC Charges South Florida Boiler Room Operators in NFL Scam
Securities Lawyer 101 Blog On September 26, 2013, the Securities and Exchange Commission (“SEC”) charged two Floridians, Peter Kirschner and Stuart Rubens,…
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SEC Suspends Trading in Left Behind Games and Charges Founder Troy Lyndon
Securities Lawyer 101 Blog On September 25, 2013, the Securities and Exchange Commission (the “SEC”) brought three enforcement actions against penny stock…
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Court Finds CMKX Transfer Agent Not Substantial Participant in Fraud
Securities Lawyer 101 Blog On September 10, 2013, the Ninth Circuit Court of Appeals rejected the Security and Exchange Commission’s argument that…
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California Attorney David Tamman Sentenced to Seven Years in Securities Fraud Case
Securities Lawyers Gone Wild Blog On 23 September 2013, the U.S. Attorney’s Office for the Central District of California announced that attorney…
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General Solicitation and Advertising Under Rule 506
Securities Lawyer 101 Blog As of September 23, 2013, the Securities and Exchange Commission (“SEC”) rules implementing some provisions of the JOBS Act became…
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SEC Proposes Pay Ratio Disclosure Rule in Compliance with Dodd-Frank Act
Securities Lawyer 101 Blog On September 18, 2013, the Securities and Exchange Commission (“SEC”) voted to propose a new rule that would…
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SEC Charges Three in Assured Capital High Yield Investment Scam
Securities Lawyer 101 Blog On September 20, 2013, the Securities and Exchange Commission (“SEC”) charged Jennifer Hoffman and John Boschert, former principals of…
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FBI Arrests Securities Attorney and Stock Promoter in Texas
Securities Lawyers Gone Wild Blog On September 19, 2013, the Dallas Division of the Federal Bureau of Investigation (“FBI”) announced the unsealing…
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Rule 506 Offerings Q & A l Securities Lawyer 101
Securities Lawyer 101 Blog Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities…
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Ohio Shuts Down Crowdfunding Website SoMoLend
Securities Lawyer 101 Blog Since the JOBS Act became law, numerous crowdfunding websites have popped up on the internet. This month, the…
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The Role of Legal Opinions in the CMKM Fraud
Securities Lawyer 101 Blog In the penny stock markets it has become almost common practice for restricted stockholders to attorney shop for…
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FINRA Issues Risk Alert For Rule 506 Private Placements
Securities Lawyer 101 Blog On September 17, 2013, The Financial Industry Regulatory Authority (“FINRA”) issued an investor alert concerning Rule 506 private placement…
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SEC Issues Trading Suspension of the Securities of PacWest Equities
Securities Lawyer 101 Blog On September 17, 2013, the Securities and Exchange Commission (“SEC”) issued a trading suspension of the common shares of PacWest…
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What is Depository Trust Company? DTC Requirements and Eligibility
Securities Lawyer 101 Blog Q. What is The Depository Trust Company (DTC)? A. It is the only stock depository in the United…
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Going Private Attorneys – Securities Lawyer 101
The Sarbanes-Oxley Act, the declining U.S. economy and increasing legal, auditing and other compliance costs reduced the number of issuers electing to…
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How Can I Go Public Via a Slow PO?
Securities Lawyer 101 Blog Many owners of small businesses give thought to going public, but wonder if the risks and the expense…
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Conducting An EB-5 Offering Under Rule 506 of Regulation D
The EB-5 offering program was created by the U.S. Congress as part of the Immigration Act of 1990 to stimulate the U.S.…
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Mary Jane’s Last Dance l FINRA Marijuana Scam Alert
Both the SEC and FINRA have published risk alerts for investors, “medical marijuana is legal in almost 20 states, and recreational use of the drug…
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Why Do I Have To Hire a Transfer Agent When Going Public? – Going Public Lawyers
Transfer agents play a key role in the going public process. Transfer agents are the record keeper for a company’s securities. Share ownership is…
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SEC Charges Indiana Man In Ponzi Scheme
Securities Lawyer 101 Blog Marcum, of Noblesville, Indiana, is the principal of Guaranty Reserves Trust, and was once a broker. He’s also…
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SEC Charges Free Rider Ronald Feldstein With Fraud
On September 3, 2013, the Securities and Exchange Commission (“SEC”) filed a fraud complaint in Federal District Court for the Southern District…
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California Man Sentenced to 64 Months For Securities Fraud
On 22 August 2013, Douglas Hollingsworth of Santa Rosa, California was sentenced to 64 months in prison for defrauding investors of…
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How Did the JOBS Act Change Form D? Going Public
Securities Lawyer 101 Blog On July 10, 2013, the SEC adopted final rules as required by Title II of the JOBS Act,…
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SEC Rewards Dodd-Frank Whistleblowers
On August 30, 2013, the Securities and Exchange Commission (the “SEC”) announced that it had awarded three whistleblowers for tips and information they…
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What is a Rule 506 Bad Actor Ban?
Securities Lawyer 101 Blog Companies seeking to raise capital through the sale of securities must either register the securities offering with the…
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Broker Accidentally Cold Calls State Securities Regulator
Securities Lawyer 101 Blog On August 28, 2013, the Arkansas Securities Department published a Consent Order by the terms of which Junmo…
Read MoreAnti-Fraud Provisions Apply To Reverse Merger and Public Float Schemes
Securities Lawyer 101 Blog When companies go public through reverse merger transactions, insiders often employ various mechanisms to obtain not only control…
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Going Public Law
Securities Lawyer 101 Blog A private company going public is subject to three federal securities laws, each with its own unique requirements. …
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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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https://www.finra.org/JOBS Act 101
https://www.jobsact101.com/Go Public 101
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https://www.sec.gov/Securities Lawyer 101 Newsletter
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