SEC brings charges against BIT Mining Ltd, Azure Power Global Ltd and Adani Green Energy Ltd in alleged massive bribery schemes
This week, the Securities and Exchange Commission (the “SEC“) brought charges in three separate alleged massive bribery schemes. In action #1, brought on November 18, 2024, the SEC announced that BIT Mining Ltd., formerly known as 500.com Limited,… Read More
Category: Blog Posts Tags: 500.com, Adani Green Energy Ltd, AZREF, Azure Power Global Ltd, BIT Mining Ltd, bribery scheme, BTCM, Criminal Case, Cyril Cabanes, FCPA, Foreign Corrupt Practices Act, Gautam Adani, Indictment, New York Stock Exchange, nyse, Sagar Adani, SEC, SEC Action, SEC Complaint, SEC Order, Securities and Exchange Commission, U.S. Department of Justice, WBAI
The SEC’s Amended “Dealer” Definition for Toxic Lenders
In the past five years or so, we’ve written many times about “toxic lenders”. These toxic lenders have been active since the end of the last century and have flourished providing financing to small publicly traded companies quoted… Read More
Category: Blog Posts Tags: Almagarby, Chris Stalcup, Convertible Note, GHS Investments, John Fife, LLC, Mark Indeglia, Mark S. Grobee, Market Adjustable, Matthew L. Schissler, public companies, Public Company, Publicly Traded, reverse split, reverse stock split, Rule 144, Safraz S. Hajee, SEC, SEC Action, SEC registrant, Small Public Company Coalition, SPCC, Toxic Convertible Note, toxic financing, Toxic Funder, Toxic Funders, Toxic Lender, Toxic Note
SEC Charges Olayinka Oyebola and His Accounting Firm With Aiding and Abetting Massive TINGO Fraud
On September 30, 2024, the Securities and Exchange Commission (the “SEC“) charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting firm, Olayinka Oyebola & Co. (Chartered Accountants), with aiding and abetting a massive securities fraud perpetrated by… Read More
Category: Blog Posts Tags: ABTI, Accounting Fraud, Agri-Fintech Holdings Inc, Alex Lightman, Alterola Biotech Inc, Brandon Kochkodin, Chris Cleverly, Craig Marshak, Darren Mercer, Deloitte Brightman Almagor Zohar, Donald Trump, Dozy Mmobuosi, Dr. Daniel Reshef, Expert Market, Forbes, fraud, fraudulent financials, Hindenburg Research, Israel, Leslie Greyling, Mmobuosi Odogwu Banye, nasdaq, Nigeria, Olayinka Oyebola, Olayinka Oyebola & Co. (Chartered Accountants), OTC Markets, PCAOB, QEBR, research report, scam, SEC Attorney, SEC Complaint, SEC suspension, Short Selling, Ting INc. Agri-Fintech Holdings Inc, Tingo Foods PLC, Tingo Group Inc, Tingo International Holdings Inc, Tingo Mobile Limited, TIO, TKCM, TMNA, Token Communities Ltd, Virtual medical International Inc
Securities Attorney Matthew C McMurdo suspended by the SEC
On September 20, 2024, the Securities and Exchange Commission (the “SEC” or “Commission”) issued an Administrative Order against securities attorney Matthew C. McMurdo for violating Section 4C of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule… Read More
Category: Blog Posts Tags: Administrative Action, Administrative Order, Enviro Impact Resources Inc, Industry Source Consulting Inc, INSO, Matthew C McMurdo, opinion letters, OTC Markets, Rule 102(e)(1)(ii), SEC, SEC Order, SEC suspension, Section 4C, Securities Act of 1934, Securities and Exchange Commission, Securities Attorney, VEGA, Vega Biofuels Inc
SEC Charges Multiple Individuals and Entities in Relationship Investment Scams
On September 17, 2024, the Securities and Exchange Commission (the “SEC“) charged five entities and three individuals in connection with two relationship investment scams involving fake crypto asset trading platforms NanoBit and CoinW6, respectively. The SEC’s two complaints… Read More
Category: Blog Posts Tags: CoinW6, crypto scam, Fei Liao, Hua Zhao, investment scam, Jiajie Liu, NanoBit Limited, Radiant Horizons Limited, relationship investment scam, relationship investment scheme, SEC, SEC Attorney, SEC Charges, SEC Complaint, Securities and Exchange Commission, Securities Attorney, Sweet Karma Fashion Inc., Zhao Tropical Deli Inc.
Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action
Over the past few years, we have closely followed the Securities and Exchange Commission (the “SEC” or the “Commission”) as it has brought a parade of actions against lenders that purchase variable-rate convertible notes from public companies. 11/17/2017… Read More
Category: Blog Posts Tags: 1800 Diagonal Lending LLC, Adam Long, Adar Alef LLC, Adar Bays, Alexander J Dillon, Alfred Sollam, Alfred Sollami, Appeals Court, Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, BHP Capital NY Inc, broker-dealer, Bryan Pantofel, Carebourn Capital L.P., Chicago Venture Partners, Chip Alvin Rice, civil penalty, convertible note lender, Convertible Notes, convertible promissory note, Cosmin I Panait, Crownbridge Partners LLC, Curt Kramer, Custom Equity Research Partners LLC, Cyrus M Alphonse, Dealer, Dilution Financing, Dilution Funder, disgorgement, District Court, Edward M Liceaga, Equity Line Financing, Exchange Act Section 15(a), financing agreement, FINRA, Geneva Roth Remark Holdings Inc, GPL Management LLC, GPL Ventures, Ibrahim Almagarby, Iliad Research, JDF Capital, JMJ Financial, John Fierro, John Francis Forsythe III, John M. Fife, Joseph Lerman, Justin Keener, Justin W Keener, L2 Capita LLC, LG Funding LLC, Louis Posner, Mark T Uyeda, Microcap Equity Group LLC, microcap securities, Microcap Stock, Miles M Riccio, Morningview Financial LLC, NASD, Oasis Capital LLC, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Penny stocks, ponzi scheme, Power Up Lending Ltd, regulation, River North Equity LLC, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Commissioner, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, securities and exchange commission. toxic funder, Securities Attorney, Securities Fraud, Securities Law Defense, Sepas Ahdoot, Sixth Street Lending LLC, Social Life Network Inc, Soheil Adhoot, South Street Capital Partners, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, toxic funding, Toxic Lender, Tri-Bridge Ventures LLC, Typenex Co-Investment LLC, Unregistered Broker, Unregistered Dealer, variable-rate convertible notes
Mullen Automotive (MULN): What to Do About Serial Reverse Splitters
At noon on September 13, 2024—Friday the 13th—Mullen Automotive (MULN) announced a 1:100 reverse stock split to become effective on September 17 at 12:01 a.m. The news did not come as a surprise to shareholders. MULN had held… Read More
SEC Charges Seven NASDAQ Listed Public Companies with Violations of Whistleblower Protection Rule
On September 9, 2024, the Securities and Exchange Commission (the “SEC”) announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential misconduct to… Read More
Category: Blog Posts Tags: a.k.a. Brands Holding Corp, Acadia Healthcare Company Inc, ACHC, AKA, APPF, AppFolio Inc, Dodd-Frank Act, employment agreements, government whistleblower program, IDEX Corporation, IEX, LSB Industries, LXU, nasdaq, nyse, OTC Markets, retention agreements, Rule 21F-17, SEC, SEC Attorney, SEC Order, SEC Violations, Securities and Exchange Commission, separation agreements, settlement agreements, severance agreements, Smart for Life Inc, SMFL, The Dodd-Frank Wall Street Reform and Consumer Protection Act, TransUnion, TRU, Whistleblower Incentives and Protection, Whistleblower Protection Act, Whistleblower Protection Rule
Are SEC Whistleblower Awards the Road to Riches or a Waste of Time?
On August 23, 2024, the Securities and Exchange Commission (“SEC”) announced It had awarded a total of $98 million to two SEC whistleblowers “whose information and assistance led to an SEC enforcement action and an action brought by… Read More
Category: Blog Posts Tags: dodd-frank, ponzi scheme, pump and dump, SEC Action, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC enforcement, SEC Lawsuit, SEC lawyer and Securities Fraud, SEC OIrder, SEC Order, SEC Subpoena, SEC Suit, SEC Whiistleblower, SEC Whistleblower, Securities Lawyer, Unregistered Dealer, whistleblower
Court Vacates Order in Unregistered Dealer, Crown Bridge Partners Case
On August 19, 2024, the United States Court of Appeals for the Second District in New York ruled in the case of Darkpulse, Inc., Social Life Network, Inc. and Redhawk Holdings Corp. v. Crown Bridge Partners LLC and… Read More
Category: Blog Posts Tags: 1800 Diagonal Lending LLC, Adam Long, Adar Alef LLC, Adar Bays, Alexander J Dillon, Alfred Sollam, Alfred Sollami, Appeals Court, Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, BHP Capital NY Inc, broker-dealer, Bryan Pantofel, Carebourn Capital L.P., Chicago Venture Partners, Chip Alvin Rice, civil penalty, convertible note lender, Convertible Notes, convertible promissory note, Cosmin I Panait, Crownbridge Partners LLC, Curt Kramer, Custom Equity Research Partners LLC, Cyrus M Alphonse, DarkPulse Inc, David Foley, Dealer, Decentral Life Inc, Dilution Financing, Dilution Funder, disgorgement, District Court, DPLS, Edward M Liceaga, Exchange Act Section 15(a), financing agreement, FINRA, Geneva Roth Remark Holdings Inc, GPL Management LLC, GPL Ventures, Ibrahim Almagarby, Iliad Research, Inc, JDF Capital, JMJ Financial, John Fierro, John Francis Forsythe III, John M. Fife, Joseph Lerman, Justin Keener, Justin W Keener, L.P., L2 Capita LLC, LG Funding LLC, Louis Posner, Microcap Equity Group LLC, microcap securities, Microcap Stock, Miles M Riccio, Morningview Financial LLC, NASD, Oasis Capital LLC, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Penny stocks, ponzi scheme, Power Up Lending Ltd, RedHawk Holdings Corp, regulation, River North Equity LLC, Ronald E. Pipoly Jr, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, securities and exchange commission. toxic funder, Securities Attorney, Securities Fraud, Securities Law Defense, Sepas Ahdoot, Sixth Street Lending LLC, Social Life Network Inc, Soheil Adhoot, South Street Capital Partners, stock scheme, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, toxic funding, Toxic Lender, Trading L.P., Tri-Bridge Ventures LLC, Typenex Co-Investment LLC, Unregistered Broker, Unregistered Dealer, variable-rate convertible notes, WDLF
SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports
On August 12, 2024, the Securities and Exchange Commission (“SEC“) announced charges against OTC Link LLC, a New York-based broker-dealer, for failing to file numerous reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), for a… Read More
Cassava Sciences (SAVA) Faces an Indictment and at Least Two Investigations
Cassava Sciences (SAVA) is a Nasdaq issuer that claims to have developed a treatment for Alzheimer’s disease; the product is currently in Phase 3 trials. It’s called Simufilam, and the company says it not only stops the progression… Read More
Category: Blog Posts Tags: Adrian Heilbut, Alzheimer's disease, AMC, anti-Slapp, Cassava Sciences, cassavafraud.com, David Bredt, defamation, drug, drug trials, Enea Milioris, fda, FDA approval, FDA Citizen Petition, Gabriel Grego, Geoffrey Pitt, GME, Hoau-Yan Wang, Indictment, Investigation, Jesse Brodkin, Jordan A Thomas, Labaton Sucharow, Lindsay Burns, meme stock, nasdaq, NIH, Nobel Prize, Pain Therapeutics Inc, Patrick Markey, Patrick Radden Keefe, QCM, Quintessential Capital Management LLC, Reddit, Remi Barbier, Remoxy, Roger Nicoll, SAVA, SAVAges, SEC, SEC Attorney, SEC filings, SEC Investigation, Securities and Exchange Commission, Short Seller, shorts, Simufilam, simuflimflam.com, stock, Wall Street Journal, whistleblower, WSJ
Meta Materials (MMAT) Declares Chapter 7 Bankruptcy
On Friday, August 9, 2024, Meta Materials Inc. (MMAT) filed for Chapter 7 bankruptcy. This turn of events was reported only in a Form 8-K filed with the SEC; no press release or announcement on the company website… Read More
Category: Blog Posts Tags: Allison Christilaw, Bankruptcy, Bankruptcy Code, Bankruptcy Filing, BF Borgers CPA, Chapter 7, congress, Daily List, Dividend, Edward Constantin, FINRA, Form 211, Gary Deel, Gary Gensler, George Palikaras, John Brda, John R. Harding, Kenneth Hannah, Meta Materials, Meta Materials Inc, Metamaterial Technologies Inc, Metamaterials Inc, Mitchell Hennessey, MMAT, MMTLP, MOASS, Naked Shorts, NASD, nasdaq, NASDAQ Stock Exchange, Next Bridge, Next Bridge Hydrocarbons Inc, OTC Markets Group, PERRY MATLOCK, Philippe Morali, Robert W Cook, SEC, SEC Attorney, SEC Complaint, SEC filings, Securities and Exchange Commission, Series A Preferred, Short Selling, Shorty, Spin-Off, Steen Karsbo, Stefan Hrvatin John Rybarcyzk, subpoena, Thomas Cooperman, Torchlight, Torchlight Energy, TRCH, U.S. Bankruptcy Court for the District of Nevada, Vyomesh Joshi, Wells Notice
SEC Charges Ideanomics, its former Chairman and CEO, Zheng (Bruno) Wu, current CEO, Alfred Poor, and former CFO, Federico Tovar with Accounting and Disclosure Fraud
On August 9, 2024, the Securities and Exchange Commission (“SEC“) announced settled fraud charges against Ideanomics, Inc., formerly known as Seven Stars Cloud Group, Inc., and its former Chairman and CEO, Zheng (Bruno) Wu, for misleading the public… Read More
Category: Blog Posts Tags: Accounting Fraud, Alfred Poor, Beijing Financial Holdings Ltd, BF Borgers CPA, China, Disclosure Fraud, disgorgement, EV, Expert Market, fake contracts, Federico Tovar, fraud, Hong Kong, Ideanomics Inc, IDEX, nasdaq, OTC Markets, Penny Stock, Promotion, pump and dump, SEC, SEC Complaint, SEC Order, Securities and Exchange Commission, Securities Attorney, Seven Stars Cloud Group Inc, Tiger Sports Media Ltd, Zheng (Bruce) Wu, Zheng Wu
SEC Awards Whistleblower a Bounty of More Than $37 Million
On July 26, 2024, the Securities and Exchange Commission (SEC) announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. The whistleblower persisted in reporting the… Read More
Attorney Mark Basile to Participate in Federal Enforcement Action SEC v. Carebourn Capital L.P. and Chip Alvin Rice
Over the past seven years or so, we’ve followed the Securities and Exchange Commission’s efforts to rein in the excesses of predatory lenders who purchase convertible notes, preferred stock, debt, and sometimes warrants from issuers desperate for the… Read More
Category: Blog Posts Tags: ADGO, Advantego Corp, AFPW, Alexander J Dillon, AlumiFuel Power Corp, Anthony LG, APPZ, Bergio International Inc, BlackOaks Capital LP, Booski Consulting LLC, Bravtek Solutions Inc, BRGO, broker-dealer, BVTK, Carebourn Capital, Carebourn Capital LP, Carebourn Partners LLC, CGAC, Chicago Venture Partners L.P., Chip Rice, Code Green Apparel Corp, Convertible Note, Convertible Notes, Cosmin I Panait, Dark Pulse Inc, DarkPulse Inc, DNRG, Dodd Frank Bounty, dodd-frank, Dominovas Energy Corp, DPLS, DRNK, Eric J. Benzenberg, Eventure Interactive Inc, EVTI, FastFunds Financial Corp, FDBL, Feltl & Company, FFFC, Fonu2 Inc, Form F-1, Form S-1, FPFI, Fresh Promise Foods Inc, Friendable Inc, FUNO, Going Public, GPL Management LLC, GPL Ventures LLC, GRAS, Greenfield Farms Food Inc, Groove Botanicals Inc, Growth Solutions Holdings, GRSO, GRVE, Iliad Research and Trading L.P., INND, Innerscope Hearing Technologies Inc, JDF Capital Inc, JMJ Financial, John Fierro, John Fife, Judge Katherine Menendez, Justin W Keener, Kelci Rice, KOAN, Labor Smart Inc, Logan Rice, LTNC, Mark Basile, Michael Wruck, Miller Johnson Steichen Kinnard Inc, Minnesota, Monster Arts Inc, More Capital LLC, More Capital Partners LP, Motion for Judgement on the Pleadings, Ngen Technologies Holdings Corp, NGRP, Noho Inc, Optec International Inc, OPTI, OTC Markets, Ozop Energy Solutions Inc, OZSC, Patten Energy Solutions Inc, Pazoo Inc, PEII, Penny stocks, Petron Energy II Inc, PETV, PetVivo Holdings Inc, Powerstorm Holdings Inc, PPCB, Propanc Health Group Corp, PSTO, PTTN, Public Company, public shell, PZOO, Resonate Blends Inc, Revolutions Medical Corp, RMCP, Rule 144 holding period, RVUE, Rvue Holdings Inc, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Section 15(a)(1), Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, St George Investments LLC, The Staffing Group Ltd, Tonaquint Inc, toxic financing, Toxic Lender, toxic lending, trading suspension, Typenex Co-Investment LLC, United States District Court, Unregistered Dealer, Wisdom Homes of America Inc, WOFA, Wowio Inc, WWIO, ZONX, Zonzia Media Inc
Andrew Left of Citron Research Indicted by the DOJ and Charged by the SEC
On July 26, 2024, the Securities and Exchange Commission announced litigation filed against activist short seller Andrew Left and his firm, Citron Capital LLC, for devising and executing a $20 million scheme to defraud retail investors who followed… Read More
Category: Blog Posts Tags: Andrew Left, Anson Advisors Inc, Anson Funds Management LP, Carson Block, Citron Capital LLC, Citron Capital LP, Citron Research, CNBC, County, CRON, Cronos Group Inc, Department of Justice, dodd-frank, Fast Money, FBI sting, FBI Undercover, FINRA Halt, fraud, IGC, Investor Loss, Investor Victims, Joshua Mitts, Muddy Waters, nasdaq, NXTTF, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, Penny stocks, ponzi scheme, pump and dump, Sarbanes-Oxley, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Halt, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Reporting Requirements, SEC Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, Short and Distort, Short Report, Short Seller, Shortselling, SPAC, stock manipulation, stock scheme, trading suspension, Wells Notice
Important Changes Are in Store for the SEC and Other Federal Agencies
Last week, the Supreme Court handed down two opinions that have the potential to limit the authority of the Securities and Exchange Commission in fundamental ways and to curtail, or at least redirect, its ability to discipline individuals… Read More
Category: Blog Posts Tags: County, dodd-frank, FBI sting, FBI Undercover, FINRA Halt, fraud, Investor Loss, Investor Victims, nasdaq, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, ponzi scheme, pump and dump, Sarbanes-Oxley, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Halt, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Reporting Requirements, SEC Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, SPAC, stock manipulation, stock scheme, trading suspension, Wells Notice
Does FINRA Rule 6490 Impact Going Public Transactions?
FINRA Rule 6490 has had an important impact on going public transactions specifically reverse mergers with public shell companies.
Category: Blog Posts Tags: Class of Securities, Direct Listing, Direct Listing Requirements, Direct Public Listing, Direct Public Offering, DPO, Exchange Act, FINRA 6490, FINRA Corporate Action Request, FINRA Rule 6490, 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 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 Law Firm, Going Public Lawyer, Going Public Lawyers, going public transactions, Listing, nasdaq, nyse, Periodic Reporting, Prospectus, Prospectus Requirements, Public, Public Company, Public Company Reporting Requirements, Register Securities, Registration Statement, Regulation S-K, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, 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, securities offerings
Benefits of Direct Public Offerings
While going public offers many benefits, it also comes with risks and a large number of regulations with which issuers must become familiar. Despite the risks, the U.S. capital markets remain one of the most attractive sources of… Read More
Category: Blog Posts Tags: Class of Securities, Direct Listing, Direct Listing Requirements, Direct Public Listing, Direct Public Offering, DPO, 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
Xeriant, Inc. Fights Toxic Funder Auctus Fund in Appellate Court
Since 2017, the SEC has been bringing enforcement actions intended to curb the excesses of lenders who deal in convertible securities like promissory notes, preferred stock, warrants, debentures, and more. While the word “lenders” seems anodyne or even… Read More
Category: Blog Posts Tags: Adam Long, Adar Alef LLC, Adar Bays, Alexander J Dillon, Alfred Sollam, Alfred Sollami, Appeals Court, Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, BHP Capital NY Inc, broker-dealer, Bryan Pantofel, Carebourn Capital L.P., Chicago Venture Partners, Chip Alvin Rice, civil penalty, convertible note lender, Convertible Notes, convertible promissory note, Cosmin I Panait, Crownbridge Partners LLC, Custom Equity Research Partners LLC, Cyrus M Alphonse, David Foley, Dealer, Dilution Financing, Dilution Funder, disgorgement, District Court, Edward M Liceaga, Exchange Act Section 15(a), financing agreement, FINRA, GPL Management LLC, GPL Ventures, Ibrahim Almagarby, Iliad Research, Inc, JDF Capital, JMJ Financial, John Fierro, John Francis Forsythe III, John M. Fife, Joseph Lerman, Justin Keener, Justin W Keener, L.P., L2 Capita LLC, LG Funding LLC, Louis Posner, Microcap Equity Group LLC, microcap securities, Microcap Stock, Miles M Riccio, Morningview Financial LLC, NASD, Oasis Capital LLC, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Penny stocks, ponzi scheme, regulation, River North Equity LLC, Ronald E. Pipoly Jr, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, securities and exchange commission. toxic funder, Securities Attorney, Securities Fraud, Securities Law Defense, Sepas Ahdoot, Soheil Adhoot, South Street Capital Partners, stock scheme, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, toxic funding, Trading L.P., Tri-Bridge Ventures LLC, Typenex Co-Investment LLC, Unregistered Broker, Unregistered Dealer, XERI, Xeriant Inc
Meta Materials Executives, John Brda and George Palikaras, charged with Market Manipulation, Fraud and Other Violations
Thanks to an SEC Complaint filed today, MMTLP shareholders finally have the undisputable evidence needed to point their previously misguided blame for their massive losses at the proper culprits. For months after the Financial Industry Regulatory Authority (“FINRA“)… Read More
Category: Blog Posts Tags: congress, Daily List, Dividend, Edward Constantin, FINRA, Form 211, Gary Deel, Gary Gensler, George Palikaras, John Brda, Meta Materials, Meta Materials Inc, Metamaterial Technologies Inc, Metamaterials Inc, Mitchell Hennessey, MMAT, MMTLP, MOASS, Naked Shorts, NASD, nasdaq, Next Bridge, Next Bridge Hydrocarbons Inc, OTC Markets Group, PERRY MATLOCK, Robert W Cook, SEC, SEC Attorney, SEC Complaint, SEC filings, Securities and Exchange Commission, Series A Preferred, Short Selling, Shorty, Spin-Off, Stefan Hrvatin John Rybarcyzk, subpoena, Thomas Cooperman, Torchlight, Torchlight Energy, TRCH, Wells Notice
What are the SEC Reporting Requirements After My Form S-1 is Effective?
Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the company becomes subject to the SEC’s reporting requirements under the Securities Exchange Act of 1934. These rules require your company to file… Read More
Category: Blog Posts Tags: Form 10, 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 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 Lawyer, Going Public, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Prospectus, Prospectus Requirements, Regulation S-K, S-1 Going Public, SEC Quiet Period, SEC Reporting Obligations, SEC Reporting Requirements Selective Disclosure
Going Public Using an S-1
Using a Form S-1 Registration Statement to Go Public Private companies that go public commonly use a registration statement (“Registration Statement”) on Form S-1 under the Securities Act of 1933, as amended (the “Securities Act”) to go public…. Read More
Category: Blog Posts Tags: Direct Listing, Direct Listing Requirements, Direct Public Offering, Form 10, 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 Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Law Firm, Going Public Lawyer, Going Public Lawyers, Listing, Prospectus, Prospectus Requirements, Regulation S-K, S-1 Going Public, SEC Quiet Period, SEC Reporting Obligations, SEC Reporting Requirements
Court denies James L. Koutoulas’ petition to quash SEC subpoena
On May 23, 2024, the U.S. District Court for the Southern District of Florida granted the Securities and Exchange Commission’s (the “SEC“) application to enforce a subpoena for the production of documents to James L. Koutoulas (“Koutoulas ”)… Read More
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Why use a Direct Public Offering (DPO) to Go Public on the OTC Markets
An Initial Public Offering or IPO is used by issuers seeking to go public using an underwriter. IPOs are typically conducted by issuers listing on the NYSE Stock Exchange (“NYSE”) or NASDAQ Stock Markets (“NASDAQ”). Issuers most often… Read More
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11th Circuit Upholds Unregistered Dealer Justin Keener SEC Judgment
On May 29, 2024, the U.S. Court Of Appeals for the Eleventh Circuit entered its Opinion in the Securities and Exchange Commission’s (“SEC“) case against Justin Keener dba JMJ Financial (together “Keener”), upholding the United States District Court… Read More
Category: Blog Posts Tags: Alexander J Dillon, Appeals Court, Carebourn Capital LP, Chicago Venture Partners LP, Chip Rice, civil penalty, Cosmin I Panait, disgorgement, District Court, Division of Enforcement, GPL Management LLC, GPL Ventures LLC, Ibrahim Almagarby, Iliad Research and Trading L.P., JDF Capital Inc, JMJ Financial, John Fierro, John M. Fife, Justin Keener, Microcap Equity Group LLC, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC enforcement action, SEC Enforcment, SEC Fraud, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Trading Suspension, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, St George Investments LLC, Tonaquint Inc, Toxic Lender, Typenex Co-Investment LLC, Unregistered Dealer
Tips For Going Public With A Direct Public Offering
More and more issuers going public opt for a direct public offering. Unlike an Initial Public Offering (IPO), in a direct public offering, the issuer sells shares of its stock directly to investors rather than through an underwriter. Going public transactions using a direct public… Read More
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SEC Obtains $5.9 Million Judgment Against John Fierro in Unregistered Penny Stock Dealer Case
On May 21, 2024, Judge Georgette Castner of the United States District Court for the District of New Jersey entered a final judgment against John D. Fierro and JDF Capital, Inc. The SEC’s complaint alleged that the Defendants… Read More
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OTC Markets Group Guidance on Dilution Risk with Respect to OTCQX and OTCQB Applicants
OTC Markets offers three unique marketplaces for trading over-the-counter (OTC) stocks: the OTC Pink Market, the OTCQB Market and the OTCQX Market. The OTCQB Market and the OTCQX Market offer many benefits not offered by the OTC Pink… Read More
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