Securities Law and Going Public Blog

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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

FINRA Fines Oppenheimer $1.4 Million for Sale of Unregistered Penny Stocks

Securities Lawyer 101 Blog On August 5, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined Oppenheimer and Co., Inc.…

Form S-1 Registration Statement Attorneys

Securities Lawyer 101 Blog Many private companies file a registration statement filing with the SEC in connection with their going public transaction. The most commonly…

The SEC Charges Diane Dalmy, and Others in Pump and Dump Scheme

Securities Lawyer 101 Blog Securities Lawyers Gone Wild Series On July 31, 2013, the Securities and Exchange Commission (“SEC”) brought an enforcement…

FINRA Investigates Trading Algorithms

The Financial Industry Regulatory Authority (“FINRA”) is investigating Trading Algorithms and whether trading firms that engage in high frequency trading have proper controls in…

SEC Amends Financial Responsibility Rules for Broker-Dealers

On July 31, 2013, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments to the net capital, customer protection, books and records,…

More Paperwork for Broker-Dealers l Securities Lawyer 101

Securities Lawyer 101 Blog On July 31, 20113, the Securities and Exchange Commission (the “SEC”) announced the adoption of rules created to increase safeguards for…

A New Crowdfunding Watchdog in Massachusetts

Securities Lawyer 101 Blog Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the…

FINRA Red Flags l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) recently identified certain red flags in connection with a disciplinary action against Gar Wood Securities…

SEC Charges Investor Relations Provider With Insider Trading

Securities Lawyer 101 Blog On July 26, 2013, the Securities and Exchange Commission (the “SEC”) charged Stephen B. Gray, an investor relations provider with…

SEC Settles Charges For Registration Violations in Unregistered Securities

Securities Lawyer 101 Blog On July 23, 2013, the Securities and Exchange Commission (the “SEC”) settled charges against Florida resident Jorge Bravo, Jr.,…

Securities Violator Patrick Kiley Sentenced to 20 Years in Prison

Securities Lawyer 101 Blog On July 15, 2013, Patrick Kiley was sentenced to 20 years in prison and ordered to pay $155 million…

Securities Attorney, Richard Kranitz Sentenced to 18 Months

Securities Lawyer 101 Blog On July 17, 2013, Richard Kranitz, a Wisconsin securities attorney was sentenced to 18 months in federal prison Wednesday…

SEC Issues Trading Suspension of Camelot Entertainment and 5 Other Issuers

SEC issued a trading suspension of Camelot Entertainment Group, Inc. (CMGR), Cavico Corp. (CAVO), Global 8 Environmental Technologies, Inc. (GBLE), GTC Telecom…

FINRA Fines Newedge USA for Violations

Securities Lawyer 101 Blog On July 11, 2013, the Financial Industry Regulatory Authority (“FINRA”), announced that they and BATS Exchange, Inc., the…

Rule 506 Gives Bad Actors The Boot l Going Public Lawyers

Securities Lawyer 101 Blog On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated…

SEC Obtains Record $13.9 Million Penalty Against Rajat Gupta

Securities Lawyer 101 Blog On July 17, 2013, the Securities and Exchange Commission (the “SEC”) obtained a $13.9 million penalty against Rajat K.…

When the SEC Investigates l Securities Lawyer 101

Securities Lawyer 101 Blog No company wants to become the target of a Securities and Exchange Commission (“SEC”) investigation, and no investor…

Securities Lawyers Gone Wild l Michael Scaglione Indicted

Securities Lawyers Gone Wild Series Securities Lawyer 101 Blog On July 10, 2013, Michael Scaglione, a Coral Gables…

Going Public Question & Answer l Ask Securities Lawyer 101

Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going…

The JOBS Act l Rule 506

Securities Lawyer 101 Blog The Jumpstart Our Business Startups (“JOBS”) Act was signed into law by President Obama on April 5, 2012.…

The SEC Blacklists Bad Actors ln Rule 506 Offerings

Securities Lawyer 101 Blog On July 10, 2013, the SEC approved a rule banning the use of the Rule 506 exemption from…

Promissory Notes l Securities Lawyer 101

Securities Lawyer 101 Blog Private companies going public seek to raise capital for a variety of reasons. This capital may be sought…

Registration Statements l Going Public Lawyer

Securities Lawyer 101 Blog This blog post addresses the most common questions we receive about going public using Form S-1 and the…

What is the OTC Pink Current Tier? Going Public Lawyers

Securities Lawyer 101 Blog Q. What is the OTC Markets OTC Pink Current Tier? A. Companies on the Pink Sheets are assigned…

What Does Rule 506 of Regulation D Require? Going Public Lawyers

Securities Lawyer 101 Blog To offer and sell securities in the United States, an issuer must comply with the registration requirements of…

SEC Issues Trading Suspension of Norstra Energy

Securities Lawyer 101 Blog On June 26, 2013, the Securities and Exchange Commission (“SEC”) suspended trading in the stock of Norstra Energy,…

SEC Sues Imaging and CEO Dean Janes for Fraud

Securities Lawyer 101 Blog On June 26, 2013, the Securities and Exchange Commission (“SEC”) filed an enforcement action charging Imaging3, Inc. (IMGGQ),…

Rule 144 C & D l Ask Securities Lawyer 101

Securities Lawyer 101 Blog The SEC‘s Compliance and Disclosure Interpretations provide its interpretations of the rules adopted under the Securities Act of 1933, as amended…

SEC Suspends Biozoom After Publication of Private Report

Securities Lawyer 101 Blog On June 25, 2013, the Securities and Exchange (“SEC”) suspended trading in the securities of Biozoom, Inc. (BIZM). In…

Ask Securities Lawyer 101 l Financial Intermediaries

Securities Lawyer 101 Blog It is not unusual for a private or public company to be approached by financial intermediary (“Intermediary”) that offers to locate investors…

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/