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.,…
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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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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…
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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…
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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…
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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…
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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…
Read MoreSEC 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.…
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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…
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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…
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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…
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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.…
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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…
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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…
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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…
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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…
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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…
Read MoreSEC 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,…
Read MoreSEC 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),…
Read MoreRule 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…
Read MoreSEC 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…
Read MoreAsk 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…
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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…
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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…
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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…
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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…
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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…
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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 MoreSEC 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…
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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.
FINRA
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
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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