SEC Revokes Five Issuers to Prevent Reverse Merger Scams
Securities Lawyer 101 Blog On May 24, 2013, the Securities and Exchange Commission (“SEC”) revoked the registrations of Enercorp, Inc. (ENCP), FTS…
Read MoreBlog
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 Prohibited Conduct l Broker-Dealer Lawyers
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) require that broker-dealers and market makers observe “high standards of commercial honor…
Read More
Penny Stock CEO and Co-Conspirator Convicted of Securities Fraud
Securities Lawyer 101 Blog On May 3, 2013, in connection with an action that went unnoticed by most penny stock observers, the…
Read More
SEC Charges Ernesto Lujan and Direct Access Partenrs in Venezuelan Fraudulent Bond Kickback Scheme
Securities Lawyer 101 Blog In June 12, 2013, the Securities and Exchange Commission (“SEC”) brought an action against an additional defendant for his…
Read More
SEC Revokes Registration of Sunrise Solar
Securities Lawyers Gone Wild Series Securities Law 101 Blog Sunrise Solar’s most recent financial report filed was a 10-Q for the period…
Read More
China MediaExpress Charged with Securities Fraud
Securities Lawyer 101 Blog On June 20, 2013, the Securities and Exchange Commission (the “SEC”) brought yet another securities fraud enforcement action…
Read More
SEC Brings Charges in California Alzheimer’s Scam
Company President Lies to Investors Most people think of the Securities and Exchange Commission (“SEC”) as a regulator of publicly traded companies. …
Read MoreSecurities Lawyers Gone Wild – Michael Stewart
Securities Law 101 Blog On June 21, 2013, the Securities and Exchange Commission (“SEC”), suspended Michael Stewart, a California securities attorney, from…
Read MoreSan Diego Penny Stock Promoter Charged with Securities Fraud
In the latest twist to the Bermuda Short Sting of 2003, on June 19, 2013, the Securities and Exchange Commission (“SEC”) Division…
Read More
SEC Revokes Registration of 8 Issuers to Prevent Corporate Hijackings
Securities Lawyer 101 Blog On June 17, 2013, the Securities and Exchange Commission (“SEC”) revoked the registrations of the securities of Avani International…
Read More
GenMedx Inc. Changes and Ticker Symbol l Securities Lawyer 101
Securities Lawyer 101 Blog Boca Raton, Florida, May 20, 2013, GenMedx, Inc., a Nevada corporation announced its new name and trading symbol.…
Read More
What Are Short Sale Failures to Deliver?
Securities Lawyer 101 Blog In recent weeks, it has been claimed that microcap issuers are the target of rumor mongering by stock…
Read More
SEC Position on Use of Social Media – SEC Reporting – Going Public Attorneys
The use of social media is a growing concern with new exemptions that allow issuers to engage in general solicitation and advertising…
Read More
How Do Reverse Splits Affect My Shares? Going Public
Reverse stock splits are often used by public companies to reduce the amount of securities outstanding. Reverse splits are also used by…
Read More
OTCQX Eliminates Penny Stocks l Securities Lawyer 101
Securities Lawyer 101 Blog The OTCMarkets describes its OTCQX marketplace as the premier tier of the U.S. Over-the-Counter (OTC) markets, providing investors…
Read More
OTC Pink Sheets l Going Public Attorney
Securities Lawyer 101 Blog Private companies seeking to go public are opting to list on the OTC Markets OTC Pink Current tier. …
Read MoreFINRA Investor Alert l Alternative Funds Not Typical Mutual Funds
Today, the Financial Industry Regulatory Authority (“FINRA”) issued a new Investor Alert concerning investments in alternative hedge funds (“Alternative Funds”). In the altert, FINRA…
Read More
SEC Suspends Polar Petroleum Corp. l Securities Lawyer 101
Securities Lawyer 101 Blog On June 10, 2013, the Securities and Exchange Commission (the “SEC”) suspended trading in the securities of Polar Petroleum…
Read More
What is a Regulation S Offering? Going Public Lawyers
Foreign private issuers may raise capital in the U.S. by registering an offering registered on a registration statement under the Securities Act of 1933,…
Read MoreReverse Mergers l Corporate Hijacking Scams l Securities Lawyer 101
Securities Lawyer 101 Blog Corporate hijackings of public shell companies–also called corporate identity theft–has been around for more than two decades. The public companies taken…
Read More
Ask Securities Lawyer 101 l Rule 144 Q & A
Securities Lawyer 101 Blog What is Section 5 of the Securities Act of 1933? Section 5 of the Securities Act states that all…
Read More
FINRA Granted Authority to Initiate Quotation & Trade Halts
Securities Lawyer 101 Blog Recent SEC amendments to FINRA Rule 6440, grant authority for FINRA to initiate quotation and trade halts in…
Read MoreOTCQX and OTCQB Recognized as Established Public Markets
Securities Lawyer 101 Blog On May 16, 2013 the Securities and Exchange Commission (the “SEC”) updated its Established Public Market policy concerning…
Read MoreSEC Charges Laidlaw and Its CEO for Securities Violations
Securities Lawyer 101 Blog On June 5, 2013, the Securities and Exchange Commission (the “SEC”) charged penny stock issuer, Laidlaw Energy Group. …
Read More
Ask Securities Lawyer 101 l Rule 506 Q & A
Securities Lawyer 101 Blog Private placements are a cost effective and relatively quick way for private companies to raise capital prior to…
Read MoreAsk Securities Lawyer 101 l Short Sale Q & A
Short selling can be a legitimate trading strategy. It is often endorsed for its beneficial effects on the securities markets, which include…
Read More
Does My Public Company Have to Disclose A Wells Notice?
Securities Lawyer 101 Blog A Wells Notice is sent to subjects of a Securities and Exchange Commission (“SEC”) investigation when Enforcement staff…
Read More
Ask Securities Lawyer 101 l Form D Q & A
Securities Lawyer 101 Blog Form D Question & Answer The most common exemptions used by companies to sell stock prior to going…
Read MoreOTC Markets OTC Pink Market Lawyer Q & A
OTC Markets Pink Sheet Q. What are the benefits of listing on the OTC Markets OTC Pink Sheets? A. There are a…
Read More
OTC Markets OTC Pink Market Uplisting – Going Public
Securities Lawyer 101 Blog The OTC Markets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade…
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
https://ppe.securitieslawyer101.com/securities-law-video-series/