Posted on
September 9, 2019
Rule 506 of Regulation D of the Securities Act of 1933 provides a private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to going public.
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Private Placement , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Rule 506 , Rule 506 (b) , Rule 506-c , Rule 506(c) , SECTION 4(A)6
Posted on
September 7, 2019
Rule 506(c) is the most commonly used exemption of the Regulation D of the Securities Act. Rule 506(c) allows the issuer to use general solicitation and advertising so long as sales are only made to purchasers who the issuer verifies as an “accredited investor”.
Blog Posts Accredited Crowdfunding , Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Going Public , Private Placement , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Regulation D Rule 506 , Rule 506 , Rule 506 (b) , Rule 506-c , Rule 506(c) , SECTION 4(A)6
Posted on
September 6, 2019
The Russian entity ICO Rating is an online presence that shares information about ICOs (initial coin offerings), which have grown alongside the rapid rise of cryptocurrency in the past few years. ICO Rating settled with the SEC for… Read More
Posted on
August 28, 2019
Rule 506(c) fundamentally changes how private placements will be conducted, by allowing issuers to engage in general solicitation and advertising if they comply with the Rule’s specific requirements. The advantages offered by Rule 506(c) are significant for issuers… Read More
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Private Placement , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Rule 506 , Rule 506 (b) , Rule 506-c , Rule 506(c) , SECTION 4(A)6
Posted on
August 17, 2019
An exempt Direct Public Offering can involve a private placement under Rules 506(c) or 504 of Regulation D. The most commonly used Direct Public Offering exemption is Rule 506(c).
Blog Posts Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , SECTION 4(A)6
Posted on
August 16, 2019
SEC Concept Release on Harmonization of Securities Offering Exemptions In the wake of the stock market crash of 1929, the public had lost confidence in the entirely unregulated U.S. markets. Congress sought to restore it by creating a… Read More
Blog Posts Concept Release on Harmonization of Securities Offering Exemptions , Exempt Offering , Form 10 , Form 10-K , Form 10-Q , Form 8-K , Form D , Form S-1 , Offering Exemption , Offering Exemptions , Regulation A , Rule 147 , Rule 506(b) , Rule 506(c) , SEC , Securities Act
Posted on
August 4, 2019
Securities Lawyer 101 Blog In order to qualify for many of the benefits created by Title I of the JOBS Act, an issuer must qualify as an Emerging Growth Company. The JOBS Act created a new disclosure standard… Read More
Blog Posts Class of Securities , Confidential Draft Registration Statement , Confidential Registration Statement , Direct Listing , Direct Listing Requirements , Direct Public Listing , Direct Public Offering , DPO , Emerging Growth Company , Exchange Act , Foreign Company , Foreign Issuer , Foreign Private Issuer , Form 10 , Form 10 Attorney , Form 10 Attorneys , Form 10 Disclosures , Form 10 Effective , Form 10 Going Public , Form 10 Lawyer , Form 10 Lawyers , Form 10 Registration , Form 10 Registration Statement , Form 10 Shell , Form 10 Shell Company , Form 10-K , Form 10-Q , Form 10-Q Periodic Report , Form 8-A , Form 8-A registration statement , Form 8-K , Form F-1 , Form F-1 Attorney , Form F-1 Attorneys , Form F-1 Capital , Form F-1 Capital Raise , Form F-1 Law Firm , Form F-1 Law Firms , Form F-1 Lawyer , Form F-1 lawyers , Form F-1 Offering , Form F-1 Prospectus , Form F-1 Quiet Period , Form F-1 Registered Offering , Form F-1 Registered Offerings , Form F-1 Registration Statement , Form F-1 Registration Statements , Form F-1 Resale , Form F-1 Resales , Form F-1 Selling Shareholder , Form F-1 Selling Shareholder Requirements , Form F-1 Selling Stockholder , Form F-1 Selling Stockholder Requirements , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Quiet Period , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Direct , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Law Firm , Going Public Lawyer , Going Public Lawyers , Listing , nasdaq , nyse , Periodic Reporting , Prospectus , Prospectus Requirements , Public Company , Public Company Reporting Requirements , Register Securities , Registration Statement , Regulation S-K , S-1 Going Public , SEC Periodic Reporting , SEC Quiet Period , SEC Registration , SEC Registration Statement , SEC Reporting , SEC Reporting Obligations , SEC Reporting Requirements , Section 12(b) , Section 12(g) , Section 16 , Securities Act , Securities Attorney , Securities Exchange Act , Securities Exchange Act of 1934 , Securities Lawyer
Posted on
July 30, 2019
Stock scalping refers to the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security. In recent years, the Securities and Exchange Commission (the “SEC”) and Department of Justice have brought… Read More
Posted on
July 28, 2019
To file a Form D, the Company must obtain Edgar filer codes. Edgar filer codes are obtained by filing a Form ID with the SEC. Form ID requires very basic information about the issuer. The SEC requires that the Form ID be manually signed and notarized to ensure that an authorized signatory is submitting the form on the company’s behalf. Permissible Form ID signatories include a company officer or director or an attorney acting pursuant to a power of attorney.
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Form D , Form D Lawyer , Form D Notice of Sales , Notice of Sales , Offering Lawyer , Offering Memorandum Lawyer , PPM , PPM Lawyer , Private Placement , Private Placement Lawyer , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Regulation D Lawyer , Rule 504 , Rule 504 lawyer , Rule 506 , Rule 506 (b) , Rule 506 Lawyer , Rule 506-c Lawyer , Rule 506(b) , Rule 506(c) , Securities Offering Lawyer
Posted on
July 9, 2019
Securities Lawyer 101 Blog Private companies going public should be familiar with the requirements of Form 8-K. Once a company completes its going public transaction and its Form S-1 is effective, it is required to comply with the… Read More
Blog Posts Annual Report on Form 10-K , Beneficial Owner , current report , Current Report on Form 8-K , Current Reports on Form 8-K , Emerging Growth Company , Exchange Act , Form 10-K , Form 10-K Annual Report , Form 10-Q , Form 3 , Form 4 , Form 5 , Form 8-K , Form 8-K Current Report , Form 8-K SEC Disclosure and Requirements , Form 8k , Insider Reports , Investment Control , material information , press release , Public Company , Regulation FD , Schedule 13D , Schedule 13g , SEC , SEC Attorney , SEC Change of Control , SEC compliance , SEC Emerging Growth , SEC Form 3 , SEC Form 4 , SEC Form 5 , SEC Form 8-K , SEC Registration , SEC Reporting , SEC reporting issuer , SEC Reporting Requirements , SEC Schedule 13(d) , SEC Schedule 13(g) , Section 16 , Securities Exchange Act , Securities Exchange Act of 1934 , trigger events , Voting Control , What are SEC Reporting Requirements
Posted on
July 8, 2019
Publicly traded companies with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”), are subject to the SEC’s periodic and current reporting requirements… Read More
Blog Posts 10-Q , Corporate Finance , Crowdfunding , Direct Listing , Direct Public Offering , DPO , Form 10 , Form 10-K , Form 10-Q , Form 8-K , Form F-1 , Form F-1 Registration Statement , Form Registration Statement , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form s-1 registration statement filing , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Direct , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , going public transactions , initial public offering , investors , IPO , jobs act , OTC Markets Attorney , OTC Markets Lawyer , Penny Stock Attorney , Penny Stock Lawyer , Periodic Report Requirements , Pot Stocks , Prospectus , Prospectus Requirements , Public Company Reporting Requirements , Raise Capital , Raise Money , Reg A , Register Securities , Registration Statement , Regulation A , Regulation A Offering , Regulation A Tier 2 , Regulation A to Go Public , Regulation CF , Regulation S-K , reporting obligations , Reporting Regulation A , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , S-1 Going Public , SEC Attorney , SEC Lawyer , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , Section 12(b) , Section 12(g) , securities , Securities Attorney , Securities Exchange Act , Securities Lawyer , Securities Offering , Short Sale Lawyer , Small Business Lawyer
Posted on
July 7, 2019
Dodd-Frank amended the definition of an “accredited” investor to exclude the value of an investor’s primary residence when determining whether the net worth of that person exceeds the $1 million net worth test. Under the amended rule, for purposes of calculating net worth in determining status of accredited investors, the value of an investor’s primary residence may not be included.
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Form D , Form D Lawyer , Private Placement , Private Placement Lawyer , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Regulation D Lawyer , Regulation D Rule 506 Exemption , Rule 506-c Lawyer , Rule 506(c)
Posted on
July 1, 2019
S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers – The process of going public using Form S-1 must be structured properly to be successful. Form S-1 is one of the most common forms used to register securities.
Blog Posts Class of Securities , Direct Public Listing , Direct Public Offering , DPO , Exchange Act , Form 10 , Form 10 Attorney , Form 10 Attorneys , Form 10 Disclosures , Form 10 Effective , Form 10 Going Public , Form 10 Lawyer , Form 10 Lawyers , Form 10 Shell , Form 10 Shell Company , Form 10-K , Form 10-Q , Form 8-A , Form 8-A registration statement , Form 8-K , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Direct , Go Public Lawyer , Going Public , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , Prospectus , Prospectus Requirements , Register Securities , Registration Statement , Regulation S-K , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , S-1 Going Public , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , Section 12(b) , Section 12(g) , Securities Exchange Act
Posted on
June 24, 2019
Its object is to render useless and worthless dormant shell companies that might otherwise be hijacked, used in reverse mergers, and ultimately pumped and dumped.
Blog Posts Direct Public Listing , Direct Public Offering , Form 10 , Form 10 Shell , Form 10 Shell Company , Form 10-K , Form 10-Q , Form 8-K , Form S-1 , Go Public , Go Public Direct , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , SEC Registration , SEC Reporting Requirements
Posted on
June 16, 2019
Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise up to $20 million and $50 million, respectively every 12 months.
Blog Posts Corporate Finance , Crowdfunding , Direct Listing , Direct Public Offering , DPO , Form 1-A. Form 1-A offering circular , Form 1-K , Form 1-K Annual Reports , Form 1-K Report , Form 1-SA; Form 1-SA Reports , Form 1-U , Form 1-U Report , Form 1-U Reporting , Form 1-Z Report , Form 10 , Form 10-K , Form 10-Q , Form 8-K , Form F-1 , Form F-1 Registration Statement , Form Registration Statement , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form s-1 registration statement filing , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Direct , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , going public transactions , initial public offering , investors , IPO , jobs act , OTC Markets Attorney , OTC Markets Lawyer , Penny Stock Attorney , Penny Stock Lawyer , Pot Stocks , Prospectus , Prospectus Requirements , Raise Capital , Raise Money , Reg A , Register Securities , Registration Statement , Regulation 1-SA , Regulation A , Regulation A Filings , Regulation A Form 1-k , Regulation A Offering , Regulation A Reporting , Regulation A Reports , Regulation A Rule , Regulation A Tier 2 , Regulation A to Go Public , Regulation CF , Regulation S-K , reporting obligations , Reporting Regulation A , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , S-1 Going Public , SEC Attorney , SEC Lawyer , SEC Registration , SEC Registration Statement , SEC Reporting , SEC Reporting Requirement , SEC Reporting Requirements , SEC Reports , SEC Rule , SEC Temporary Rule , Section 12(b) , Section 12(g) , securities , Securities Act , Securities Attorney , Securities Exchange Act , Securities Lawyer , Securities Offering , Semi-annual reports on Form 1-SA , Short Sale Lawyer , Small Business Lawyer
Posted on
June 14, 2019
SEC Form F-1 is commonly used by foreign issuers in connection with their going public transaction. Typically, foreign companies seeking to raise capital attempt to obtain public company status. Foreign companies that go public in the U.S. can register… Read More
Blog Posts Form F-1 , Form F-1 Registration Statement , Form Registration Statement , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form s-1 registration statement filing , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Direct , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , going public transactions , initial public offering , investors , IPO , jobs act , OTC Markets Attorney , OTC Markets Lawyer , Penny Stock Attorney , Penny Stock Lawyer , Pot Stocks , Prospectus , Prospectus Requirements , Raise Capital , Raise Money , Reg A , Register Securities , Registration Statement , Regulation A , Regulation A Offering , Regulation A Tier 2 , Regulation A to Go Public , Regulation CF , Regulation S-K , reporting obligations , Reporting Regulation A , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , S-1 Going Public , SEC Attorney , SEC Lawyer , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , Section 12(b) , Section 12(g) , securities , Securities Attorney , Securities Exchange Act
Posted on
May 31, 2019
Form 12b-25 provides the issuer with a 5 day extension within which to file the Form 10-Q or 15 days for a Form 10-K.
Blog Posts 12b-25 , Form 10-K , Form 10-Q , Form 12b-25 Extension , Form 20-F , Form 6-K , Form 8-K , Form S-3 , Form S-8 , Public Company Reporting , Public Company SEC Reporting , Public Company SEC Reporting Requirements , Rule 12-25 Extension , Rule 12b-25 , Rule 144 , SEC disclosure , SEC Reporting Requirements
Posted on
May 31, 2019
The SEC charged on May 9, 2019, Lloyd Schuman and Dane Janes for insider trading and for repeatedly traded and tipped on confidential information that they obtained through their respective employers. The SEC’s complaint, filed in the U.S…. Read More
Blog Posts insider trading , Lloyd Schuman , OTC Markets , Penny Stock , Pump and Dump. SEC Trading Suspension , SEC Action , SEC Complaint , SEC enforcement , SEC enforcement action , SEC Investigation , SEC Subpoena , Securities and Exchange Commission , Securities Fraud , Toxic Lender , trading suspension , Unregistered Dealer
Posted on
May 29, 2019
On May 9,2019, the SEC charged Danny Williams, the former President of Quality Companies, LLC, a former subsidiary of Indianapolis-based Celadon Group Inc., with an accounting fraud that allowed Celadon to avoid disclosing substantial losses and misrepresent its… Read More
Blog Posts Danny Williams , OTC Markets , Penny Stock , Pump and Dump. SEC Trading Suspension , SEC Action , SEC Complaint , SEC enforcement , SEC enforcement action , SEC Investigation , SEC Subpoena , Securities and Exchange Commission , Securities Fraud , Toxic Lender , trading suspension , Truckload Freight , Unregistered Dealer
Posted on
May 27, 2019
On May 3, 2019, a federal district court entered a final consent judgment against Rocco Roveccio, a broker who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts, which enriched the broker… Read More
Blog Posts OTC Markets , Penny Stock , Pump and Dump. SEC Trading Suspension , Rocco Roveccio , SEC Action , SEC Complaint , SEC enforcement , SEC enforcement action , SEC Investigation , SEC Subpoena , Securities and Exchange Commission , Securities Fraud , Toxic Lender , Unregistered Dealer
Posted on
May 27, 2019
The term “penny stock” refers to a security issued by a company whose shares that trades at less than $5 per share on the OTC Markets Group, Inc.’s OTC Link.
Blog Posts Alternative Reporting , Alternative Reporting Requirements , Direct Public Offering , Direct Public Offering Attorney , Direct Public Offering Attorneys , Direct Public Offering Lawyer , Form 211 , Form S-1 , Form S-1 Attorney , Form S-1 Lawyer , Form SEC , Go Public Direct , Going Public Attorney , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , Market Maker , Microcap Stock , OTC Link , OTC Link Lawyer , OTC Markets , OTC Markets Alternative Reporting , OTC Markets and Sponsoring Market Maker , OTC Markets Attorney , OTC Markets Group , OTC Markets Lawyer , OTC Markets Lawyers , OTC Markets Link , OTC Markets Market Maker , OTC Markets OTC Pink , OTC Markets OTCAX , OTC Markets OTCQB , OTC Markets OTCQX , OTC Markets Sponsoring Market Maker , OTC Pink , OTC Pink Attorney , OTC PINK Lawyer , OTC Pink Market , OTC Pink Market lawyer , OTCQB , OTCQB Attorney , OTCQX , OTCQX Attorney , OTCQX Sponsor , OTCQX Sponsor Attorney , Penny Stock , Registered Direct Public Offering , Registration Statement , Regulation A , Regulation A Qualification , Regulation A Reporting , Rule 15c2-11 , SEC Effectiveness , SEC Qualification , SEC Reporting , SEC Reporting Obligations , SEC Reporting Requirements , Securities Act
Posted on
May 24, 2019
On April 29,2019, the SEC charged James Siniscalchi, a New York City man with continuing a previously charged scheme, stealing millions of dollars from investors who were allegedly falsely promised their funds would be used for the purchase and… Read More
Blog Posts OTC Markets , Penny Stock , Pump and Dump. SEC Trading Suspension , SEC Action , SEC Complaint , SEC enforcement , SEC enforcement action , SEC Investigation , SEC Subpoena , Securities and Exchange Commission , Securities Fraud , Toxic Lender , trading suspension , Unregistered Dealer
Posted on
May 22, 2019
The SEC announced on April 29,2019, the entry of an emergency court order freezing assets related to alleged insider trading that yielded approximately $2.5 million in profits in connection with the April 12, 2019 announcement that oil-and-gas conglomerate… Read More
Blog Posts insider trading , OTC Markets , Penny Stock , Pump and Dump. SEC Trading Suspension , SEC Action , SEC Complaint , SEC enforcement , SEC enforcement action , SEC Investigation , SEC Subpoena , Securities and Exchange Commission , Securities Fraud , Toxic Lender , trading suspension , Unregistered Dealer
Posted on
May 20, 2019
On April 26, 2019, the SEC charged Christopher Dougherty and several entities he controlled, with operating a Ponzi scheme that defrauded his investment advisory clients out of $7 million. The San Diego District Attorney’s Office separately announced criminal… Read More
Blog Posts Christopher Dougherty , Microcap Action , Microcap Investor , Microcap Stock , OTC Markets , Penny Stock , Penny Stock Action , Penny Stock Bar , Penny Stock Bars , Penny Stock Fraud , Penny Stock Issuer , ponzi scheme , Rule 10b-5 , SEC , SEC Action , SEC Administrative Proceeding , SEC Allegation , SEC Attorney , SEC Case , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Lawyer , SEC enforcement , SEC Fraud , SEC Injunction , SEC Investigation , SEC Judgment , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Order , SEC Penny Stock Bar , SEC regulation , SEC Subpoena , SEC Suit , SEC Trading Suspension , Section 10(b) , Section 5 , Securities Act , Securities Exchange Act of 1934 , Securities Fraud , Securities Law Defense
Posted on
May 19, 2019
When a company decides to raise money in a Regulation D offering as part of its going public transaction, it must file a Form D – Notice of Sales with the Securities and Exchange Commission Rule 504, 505… Read More
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Exempt Offering , Form D , Form D Lawyer , Going Public , Notice of Sales , Offering Lawyer , Offering Memorandum Lawyer , PPM , PPM Attorney , PPM Lawyer , PPM Offering , Private Placement , Private Placement Attorney , Private Placement Lawyer , Private Placement Offering , Private Placement Offering Memorandum , Raise Capital , Regulation D , Regulation D Attorney , Regulation D Attorneys , Regulation D Capital Raise , Regulation D Form D , Regulation D Funding , Regulation D Law Firm , Regulation D Lawyer , Regulation D Lawyers , Regulation D Offering , Regulation D Requirements , Regulation Form D , Regulation Form D Attorney , Regulation Form D attorneys , Regulation Form D Lawyers , Regulation Form D Offering , Regulation Form D Reporting , Regulation Form D Requirements , Regulation Form D SEC Reporting , Regulation Form D Securities Offering , Rule 504 , Rule 504 lawyer , Rule 506 , Rule 506 (b) , Rule 506 Lawyer , Rule 506-c Lawyer , Rule 506(b) , Rule 506(c) , Securities Offering Lawyer
Posted on
May 17, 2019
DTC’s eligibility creates liquidity for companies after a going public transaction. DTC’s Issue Eligibility program allows newly issued securities as well as secondary offerings that meet DTC’s eligibility criteria to become eligible for the depository and book-entry services of The Depository Trust Company (DTC). DTC eligibility means that a security is freely tradable and fungible and is otherwise qualified to be held at DTC and traded and serviced through DTC’s electronic book-entry system. DTC’s eligibility criteria are more fully described in DTC’s Operational Arrangements.
Blog Posts Direct Listing , DTC chill , DTC Eligibility , DTC Global Lock , DTC Lock , Electronic Trading , Form 10 , Form F-1 , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Registered Offering , Form S-1 Registered Offerings
Posted on
May 17, 2019
The SEC charged on April 25,2019, an Indianapolis-based Celadon Group Inc. with an accounting fraud that allowed the truckload freight company to avoid disclosing substantial losses and misrepresent its financial condition. In a complaint filed in federal court… Read More
Blog Posts Accounting Fraud , Microcap Action , Microcap Investor , Microcap Stock , OTC Markets , Penny Stock , Penny Stock Action , Penny Stock Bar , Penny Stock Bars , Penny Stock Fraud , Penny Stock Issuer , ponzi scheme , Rule 10b-5 , SEC , SEC Action , SEC Administrative Proceeding , SEC Allegation , SEC Attorney , SEC Case , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Lawyer , SEC enforcement , SEC Fraud , SEC Injunction , SEC Investigation , SEC Judgment , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Order , SEC Penny Stock Bar , SEC regulation , SEC Subpoena , SEC Suit , SEC Trading Suspension , Section 10(b) , Section 5 , Securities Act , Securities Exchange Act of 1934 , Securities Fraud , Securities Law Defense
Posted on
May 15, 2019
On April 18, 2019, the United States District Court for the Southern District of New York, ordered a former broker, Zachary Berkey, to pay $106,000 in disgorgement, plus prejudgment interest, and $71,000 in civil penalties. The SEC charged… Read More
Blog Posts Microcap Action , Microcap Investor , Microcap Stock , OTC Markets , Penny Stock , Penny Stock Action , Penny Stock Bar , Penny Stock Bars , Penny Stock Fraud , Penny Stock Issuer , ponzi scheme , Rule 10b-5 , SEC , SEC Action , SEC Administrative Proceeding , SEC Allegation , SEC Attorney , SEC Case , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Lawyer , SEC enforcement , SEC Fraud , SEC Injunction , SEC Investigation , SEC Judgment , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Order , SEC Penny Stock Bar , SEC regulation , SEC Subpoena , SEC Suit , SEC Trading Suspension , Section 10(b) , Section 5 , Securities Act , Securities Exchange Act of 1934 , Securities Fraud , Securities Law Defense , Zachary Berkey
Posted on
May 13, 2019
On April 23, 2019, the SEC obtained an emergency asset freeze and temporary restraining order to halt an ongoing fraudulent securities offering by Eric Lyons, a Massachusetts resident, in an attempt to conceal his misappropriation from certain hedge… Read More
Blog Posts Eric Lyons , Microcap Action , Microcap Investor , Microcap Stock , OTC Markets , Penny Stock , Penny Stock Action , Penny Stock Bar , Penny Stock Bars , Penny Stock Fraud , Penny Stock Issuer , ponzi scheme , Rule 10b-5 , SEC , SEC Action , SEC Administrative Proceeding , SEC Allegation , SEC Attorney , SEC Case , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Lawyer , SEC enforcement , SEC Fraud , SEC Injunction , SEC Investigation , SEC Judgment , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Order , SEC Penny Stock Bar , SEC regulation , SEC Subpoena , SEC Suit , SEC Trading Suspension , Section 10(b) , Section 5 , Securities Act , Securities Exchange Act of 1934 , Securities Fraud , Securities Law Defense
Posted on
May 10, 2019
The SEC charged David Loflin on April 22,2019, for his role in a pump-and-dump scheme in the stock of Greenway Design Group, Inc., a Phoenix, Arizona company that was secretly controlled by David Loflin’s now-deceased business partner. According to… Read More
Blog Posts David Loflin , Exchange Act , fraud , Greenway Design Group , investor , Microcap Action , Microcap Investor , Microcap Stock , OTC Markets , Penny Stock , Penny Stock Action , Penny Stock Bar , Penny Stock Bars , Penny Stock Fraud , Penny Stock Issuer , ponzi scheme , Rule 10b-5 , SEC , SEC Action , SEC Administrative Proceeding , SEC Allegation , SEC Attorney , SEC Case , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Lawyer , SEC enforcement , SEC Fraud , SEC Injunction , SEC Investigation , SEC Judgment , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Order , SEC Penny Stock Bar , SEC regulation , SEC Suit , SEC Trading Suspension , Section 10(b) , Section 5 , Securities Act , Securities Exchange Act of 1934 , Securities Fraud , Securities Law Defense
