A Class Action Complaint filed in the United States District Court Central District of California Western Division on December 8, 2022 names several A-list musicians, athletes and celebrities as defendants for promoting Bored Ape Yacht Club NFTs (“BAYC… Read More
Category: Blog Posts Tags: Abel Tesfaye, Adidas, Alexander Pall, Alexis Ohanian, Amy Wu, Andrew Taggart, Austin Richard Post, BAYC NFTs, Beeple, Bored Ape, Bored Ape Yacht Club, Calvin Broadus Jr, Christopher Lyons, class action, cryptocurrency, Dean Steinbeck, Diplo, DJ Khaled, Future, Greg Solano, Guy Oseary, Gwyneth Paltrow, Jasmin Shoemaker, Jimmy Fallon, Kerem Atalay, Kevin Hart, Khaled Mohammed Khaled, lawsuit, Maaria Bajwa, Madonna, Madonna Louise Ciccone, Mike Winkelmann, Nayvadius Wiburn Cash, NFTs, Nicole Muniz, Paris Hilton, Patrick Ehrlund, Post Malone, Promotion, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, 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, Securities and Exchange Commission, Securities Fraud, Securities Law Defense, Serena Williams, Snoop Dogg, Stephen Curry, stock scheme, the Tonight Show, The Weeknd, Thomas Pentz, Universal Television LLC, Wardell Stephen Curry II, Wylie Aronow, Yuga Labs, Zeshan Ali
December 8, 2022 A new Public Company Accounting Oversight Board (“PCAOB”) staff report published this month, found on the Staff Publications page on the PCAOB website, shows a year-over-year increase in the number of audits with deficiencies at… Read More
Category: Blog Posts Tags: accounting, audit firm, audit reports, audits, Erica Y Williams, Going Public, inspections, PCAOB, Public Company Accounting Oversight Board, SEC, Securities Attorney, stock
The Securities and Exchange Commission (“SEC”) requires various forms of SEC registration statements covering the offer and sale of securities for both public and private companies. The eligibility and requirements of each SEC registration statement vary depending on… Read More
Category: Blog Posts Tags: Direct Listing, Direct Public Offering, DPO, Emerging Growth Company, Foreign Issuer, Foreign Private Issuer, Form F-1, Form S-1, Form S-3, Form S-4, Go Public, Going Public, IPO, nasdaq, nyse, OTC Markets, Public Company, Registration Statement, SEC Forms, SEC Registration Statement, Securities Act, Securities Exchange Act
On November 22, 2022, Canadian resident David Stephens and California residents Donald Danks, Jonathan Destler, and Robert Lazerus were charged in a federal grand jury indictment with securities fraud in connection with a pump-and-dump scheme, and Danks was… Read More
Category: Blog Posts Tags: David Stephens, Dodd Frank Bounty, dodd-frank, Donald Danks, FAMG, First American Group Inc, Form S-1, Going Public, Indictment, Jonathan Destler, LOOP, Loop Industries Inc, Robert Lazerus, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock scheme, Thomas Puzzi, Unregistered Dealer
On November 17, 2022, the Securities and Exchange Commission (the “SEC”) charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities… Read More
Category: Blog Posts Tags: broker-dealer, Charlie Abujudeh, Convertible Note, Crito Capital LLC, Dodd Frank Bounty, dodd-frank, doj, GEL Direct LLC, GEL Direct Trust, Jeffrey K Galvani, Penny Stock, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, 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, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock scheme, Stuart A Jeffery, Toxic Convertible Note, Toxic Lender, Unregistered broker-dealer, Unregistered Dealer
By now, most people have heard about the epic collapse of FTX. The crypto exchange founded by Sam Bankman-Fried (“SBF”) was once the 3rd largest crypto exchange, with an estimated valuation of $32 billion, and is now in… Read More
Category: Blog Posts Tags: Alameda, Alameda Research, backdoor, Bankruptcy, Binance, Bloomberg, Changpeng Zhao, Chapter 11, class action, Coindesk, crypto, CZ, David Ortiz, Department of Justice, DJ Khaled, doj, Edwin Garrison, Enron, Floyd Mayweather, FTC, FTT, FTX, FTX Platform, Gisele Bundchen, Golden State Warriors, hack, John J Ray III, Kevin O'Leary, Kim Kardashian, Larry David, Lawrence Gene David, Miami Heat, MSN, Naomi Osaka, OKX, ponzi scheme, Ryne Miller, Sam Bankman-Fried, SBF, scam, SEC, SEC Action, Securities and Exchange Commission, Shaquille O'Neal, Shohie Ohtani, Stephen Curry, Tether, Tom Brady, Trevor Lawrence, Twitter, Udonis Haslem, unregistered securities, William Trevor Lawrence, WSJ, YBAs
On August 25, 2022, Joseph Padilla was arrested at the San Diego International Airport in connection with his alleged involvement in a sophisticated securities fraud scheme that generated over $7 million in illicit proceeds. Padilla, 53, of Carlsbad,… Read More
Category: Blog Posts Tags: 1st Prestige Wealth Management, Aladdin Trading & Company, ALDI, Andrea Ritchie, Angelo R. Panetta, Ashley Robinson, Barry Grinberg, BIIO, Bionovate Technologies Group Inc, Bioscience Neautroceuticals Inc, broker-dealer, Carlsbad, Cayman Islands, cbd, Chad P. Smanjak, Charlestowne Premium Beverages Inc, College Admissions Scandal, cooperating witness, Country Line Energy Corp, Courtney Kelin, criminal charges, cross trading, Curacao, CYLC, Daniel E. Ruettiger, DEVV, doj, Douglas Roe, EHDN, eHolding Technologies, Empire Financial Group Inc, Evergreen Solutions Ltd, fbi, Financials Worldwide Inc, FINRA, First Pet Life Inc, FPLF, FPWM, fraud, Frederick Sharp, Gary J. Yocom, Germany, Gregg Mulholland, Hong Kong, Human Data AG, Hungary, Indictment, Jonathan Leinwand, Joseph Padilla, Kelly Warawa, Kevin Quinn, Kevin S. Kaplan, lev Parnes, Luis Carillo, Market Maker, Martin Ustin, Mehmet Mustafoglu, Mexico, Michael Luckhoo-Bouche, Mike Veldhuis, Militza Miro de Torm, Morrie Tobin, National Advisors Corporation, Nelson Gomes, PAIM, Panama, Pawel P. Dynkowski, Pearl Asian Mining Industries, Penny stocks, pennystockbargain.com, Phoenix Apps Inc, Porrima Ltd, Program Trading Corp, Promotion, pump and dump, PXPP, Rivex Technology Corp, RIVX, Rocco Brandonisio, Roger Knox, Rudy Nutrition, RUNU, Sandy Steele Unlimited Inc, SBES, scam, Scottsdale Capital Advisors Corp, 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 Fraud, Securities Law Defense, Shane Schmidt, share selling scheme, Silverton SA, Special Agent Keith Brown, SSTP, SSTU, Stephen DeCesare, Sterling Financial Group Inc, Sterling Securities Group, stock manipulation, stock scheme, Sustainable Power Corp, Switzerland, the-financialnews.com, Ticino Capital Ltd, toronto, unregistered stock, Valor Capital, VFIN, vFinance, vFinance Inc, vFinance Investments Inc, VMT Scientific Inc, VMTS, vodka, Wellesley Holdings ltd, William Groeneveld, WinterCap SA, WOD Retail Solutions Inc, WODI, xphone network
On October 31, 2022, the Securities and Exchange Commission charged six individuals, including a federal inmate, for conducting a freeriding scheme that defrauded multiple broker-dealers. The SEC’s complaint alleges that from May 2019 to early January 2021, Syed… Read More
Category: Blog Posts Tags: Blake Douglas McKinney, broker-dealers, Dodd Frank Bounty, dodd-frank, fraud, freeriding scheme, John Ryan Shows, Mushfiqur Rahman, ponzi scheme, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock scheme, Syed Arham Arbab, Tomas Javier Jimenez, trading suspension, University of Georgia, Unregistered Dealer, William Carl Spagnoli
Once the staff of the Securities and Exchange Commission (“SEC”) declares a company’s registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the “1933 Act”), the company may offer and sell the registered… Read More
Category: Blog Posts Tags: Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 8-K, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Periodic Reporting, Registration Statement, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer
SEC Registration Statements And Direct Public Offerings Q & A Filing a Form S-1 registration statement is the most efficient and reliable method for a private company to obtain public company status. Using a Form S-1 registration statement,… Read More
Category: Blog Posts Tags: Direct Public Offering, DPO, FINRA, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 211, Form 8-K, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, initial public offering, IPO, Market Maker, PCOAB, Periodic Reporting, propectus, Q&A, Registration Statement, S-1, SEC, SEC Comments, SEC Periodic Reporting, SEC Registration Statement, SEC review, Securities Act, Securities Act of 1933, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer
According to various internet reports, Nasdaq Inc has halted the initial public offerings (IPOs) of at least four small Chinese companies while it investigates short-lived stock rallies of other recent Chinese IPOs after going public. Several small Chinese… Read More
Category: Blog Posts Tags: Addentax Group Corp, Amtd Digital Inc, ATXG, China, Chinese IPO, Chinese Stocks, HKD, Initial Public Offerings, IPO, Jianzhi Education Technology Group Company Limited, JZ, Magic Empire Global Ltd, MEGL, nasdaq, Nasdaq Inc, Penny Stock, pre-IPO, pump and dump, stock manipulation
A 12-count indictment was unsealed on October 19, 2022, in federal court in Brooklyn, New York, charging five Russian nationals, Yury Orekhov, Artem Uss, Svetlana Kuzurgasheva, also known as “Lana Neumann,” Timofey Telegin and Sergey Tulyakov with various… Read More
Category: Blog Posts Tags: Artem Uss, China, Germany, Indictment, Juan Carlos Soto, Juan Fernando Serrano Ponce, Juanfe Serrano, Krasnoyarsk Krai, Lana Neumann, Money Laundering, Nord-Deutsche Industrieanlagenbau GmbH, oil, oligarchs, Opus Energy Trading LLC, PDVSA, Petroleos de Venezuela SA, Russia, Russian Oligarchs, sanctions, Sergey Tulyakov, smuggling, Svetlana Kuzurgasheva, Timofey Telegin, Ukraine, war, Yury Orekhov
On October 4, 2022, SEC Defendant and FBI fugitive Justin Costello was arrested by an FBI SWAT team. Costello had been on the run from authorities as a fugitive since September 29th after failing to surrender to authorities… Read More
Category: Blog Posts Tags: and Canal Capital, and Marijuana Company of America, arrest, Brenda Meckley, Broker, Cannabis Global Inc, Cannabis Strategic Ventures, CBGL, CCSAC Inc, Clancy Systems International Inc, CLSI, Complaint, computerbux, COWP, COWPP, Criminal Indictment, David Ferrero, DCGD, Department of Justice, Discovery Gold Corp, fbi, Foothills Exploration Inc, fraud, FTXP, fugitive, GRN Funds LLC, GRN Holding Corporation, GRNF, Hempstract Inc, HMLA, Homeland Resources Corp, HPST, IHUB, Inc, James Meckley, Justin Costello, Katrina Rosseini, LVCA, M.J. Holdings, marijuana, MCOA, MCTC, MCTC Holdings Inc, MJNE, NUGS, OBCN, Obocon Inc, Pacific Banking Corp, Penny Stock, prison, Pump, REMSleep Holdings Inc, Riverdale Oil and Gas Corporation, RMSL, RVDO, scam, SEC, Section 10(b), Section 17(a), Securities and Exchange Commission, Social Media, Stock Promotion, SWAT, Terri Buhl, Twitter, Utopia Capital Research, Victoria Lake Inc, White Diamond Research
The last week of September marked the one-year anniversary of the compliance date for the Securities and Exchange Commission (“SEC”) amendments to Securities and Exchange Act Rule 15c2-11, which regulates the quotation of over-the-counter securities. As we shall… Read More
Category: Blog Posts Tags: 15c-211, 15c2-11, 15c211, Amended Rule 15c2-11, Annual Report, Bob Power, Chris King, crypto, disclosure standards, disclosures, Dr Rory Knight, Expert Market, FINRA, Form 211, Jason Paltrowitz, Joe Oltmanns, Market Maker, meme stocks, NASD, nasdaq, National Association of Securities Dealers, No Information, otc, OTC Link, OTC Markets, OTC Markets Group, OTC Pink, OTCM, OTCQB, OTCQX, over-the-counter securities, Penny stocks, pink sheets, Rule 12g3-2(b), Rule 6432, Rule5250, SEC, SEC Rule 15c2-11, Securities and Exchange Commission, SPACs, Sponsoring Market Maker, webinar, zombie tickers
On Wednesday, October 5th, the Department of Justice announced awards totaling almost $100 million to reduce recidivism and support adults and youths in successfully returning to their communities after a period of confinement.
Category: Blog Posts Tags: BJA, Bureau of Justice Assistance, crime, Damian Williams, Department of Justice, Executive Order, grants, Karhlton F Moore, Office of Justice Programs, Office of Juvenile Justice and Delinquency Prevention, OJJDP, OJP, OJP Awards, recidivism, Second Chance Act, Second Chance Act Community-Based Reentry program, Second Chance Pell Initiative
IPO v Direct Listing Go Public Direct FAQ Q: How is going public with a direct listing to the NASDAQ Capital Market different than the traditional IPO listing to NASDAQ Capital Market? A: Both direct listings and Initial… Read More
Category: Blog Posts Tags: Direct Listing, Direct Public Offering, DPO, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 8-K, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Going Public Direct, initial public offering, IPO, nasdaq, Nasdaq Capital Market, nyse, OTC Markets, Periodic Reporting, Public Company, Registration Statement, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer, stock exchange
The SEC’s Office of Investor Education and Advocacy recently issued an Investor Bulletin to educate investors about investing in unregistered securities offerings, sometimes called private placements, under Regulation D of the Securities Act. Rule 506(b) and Rule 506(c) are… Read More
Category: Blog Posts Tags: Accredited Investor, Accredited Investors, Broker, Edgar, EDGAR system, exemption, federal securities laws, FINRA, Form D, investment, investor, investors, Non-Accredited Investor, offering, Offering Memorandum, offerings, PPM, Private Placement, Private Placement Memorandum, Public Company, registration, regulation, Regulation D, Rule 504, Rule 506, Rule 506(b), Rule 506(c), SEC Registration, SEC Rule, Section 4(a)(2), securities, Securities Act, Securities Fraud, securities law, Securities Laws, Securities Offering, securities offerings
On September 9, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against TBG Holdings Corporation (“TBG”), its principals Neil B. Swartz and Timothy S. Hart, and sales agents Ted L. Romeo, Vincent J. Caputo, and Frank… Read More
Category: Blog Posts Tags: 2DoTrade Inc, Frank S Dickerson, Kaya Holdings Inc, KAYS, Mark Swartz, MCG Partners Inc, MDXL, Medixall Group Inc, Neil B Swartz, Neil Swartz, Penny Stock, pump and dump, scam, SEC, SEC Charges, SEC Complaint, SEC enforcement, SEC enforcement action, Securities and Exchange Commission, Securities Fraud, TBG Holdings Corporation, Ted L Romeo, Timothy S Hart, Tyco International Inc, Unregistered broker-dealer, Vincent J Caputo
On September 20, 2022, the Securities and Exchange Commission (the “SEC”) charged recidivists Manhattan Transfer Registrar Company (“Manhattan Transfer”), a registered transfer agent based in Port Jefferson, New York, and its former principal, John C. Ahearn, a resident… Read More
On October 3, 2022, the SEC Division of Enforcement entered into a settlement of charges with Kimberly Kardashian (“Kardashian” or “Respondent”). The SEC Offer of Settlement (the “Offer”) includes findings that: On June 13, 2021, Kim Kardashian—a well-known… Read More
Category: Blog Posts Tags: coins, crypto, crypto currency, disgorgement, Division of Enforcement, EMAX, emax tokens, enforcement, ethereummax, federal securities laws, investors, Kim Kardashian, Kimberly Kardashian, SEC, SEC Charges, SEC Division of Enforcement, SEC enforcement, Section 17(b), securities, Securities Act, Securities Act Section 17(b), Securities Laws, Social Media, tokenomics, tokens
On Friday, September 2, the man who lived on the 18th floor of 56 Leonard Street in New York’s Tribeca district didn’t go to work or, perhaps, he came home very early. We know only that at about… Read More
Category: Blog Posts Tags: AMC, AMC Entertainment Holdings, APES, Avon, Bankruptcy, BBBY, Bed Bath & Beyond, Chewy Inc, CHWY, COVID, Expert Market, Form 3, GameStop, GME, Gustavo Arnal, Harriet Edelman, HODL, IPO, Jake Freeman, Jenga Building, JP Morgan Securities LLC, JPM, Laogai Research Foundation, lawsuit, Mark Tritton, nasdaq, New York, nyse, OTC Markets, Pengcheng Si, penny stocks meme stocks, Proctor & Gamble, RC Ventures, Reddit, Robinhood, rule 15c-211, Ryan Cohan, Schedule 13D, SEC, Securities Attorney, Simon Si, SPACs, Steven Temares, Volaris Capital, WallStreetBets, YOLO
The China Securities Regulatory Commission (CSRC) and U.S. Public Company Accounting Oversight Board (PCAOB) announced Friday that both sides signed an agreement to allow U.S. regulators to inspect the audits of Chinese companies whose stocks are traded on U.S…. Read More
Category: Blog Posts Tags: Aliaba, Alibaba, China Publicly Traded, China Securities Regulatory Commission, Chinese Issuer, CSRC, Foreign Issuer, Foreign Private Issuer, Form F-1 Registration Statement, Form S-1 Offering, Form S-1 Resale, Go Public, Going Public, Going Public Law Firm, HFCAA, nasdaq, NASDAQ stock market, New York Stock Exchange, nyse, PCAOB, SEC Attorney, SEC Lawyer, SEC Reporting, SEC Reporting Obligations, U.S. Public Company Accounting Oversight Board
On August 26, 2022, the Securities and Exchange Commission adopted two amendments to the rules governing its whistleblower program. The first rule change allows the Commission to pay whistleblowers for their information and assistance in connection with non-SEC… Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, whistleblower
Over the past week, the Securities and Exchange Commission (the “SEC”) has initiated 26 new administrative proceedings against inactive SEC issuers, moving towards revoking the issuers’ securities registered pursuant to Section 12 of the Exchange Act. The 26… Read More
Category: Blog Posts Tags: 15c-211, Administrative Action, Administrative Order, administrative proceedings, Delinquent filer, Expert Market, Form 10, OTC Markets, OTC Markets disclosure requirements, Penny stocks, revocation, SEC, SEC Disclosure Requirements, SEC filer, SEC Reporting Requirements, Section 12 of the Exchange Act
Going public is still considered a benefit to issuers seeking to raise capital or obtain recognition of their business. Even in a down economy, private companies seek the perceived benefits of being publicly traded. While there are a… Read More
Category: Blog Posts Tags: Depository Trust Company, Direct Listing, Direct Public Offering, DPO, DTC, FINRA, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 211 and Amended 15c-211, Form 8-K, Form F-1, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Going Public Direct, Grey Sheets, initial public offering, IPO, Market Maker, nasdaq, Nasdaq Capital Market, nyse, OTC Markets, OTC Markets Pink, Periodic Reporting, Public Company, Registration Statement, Reverse Merger, rule 15c-211, SEC, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer, stock exchange, Underwriter, Unregistered Dealer, Unsolicited quotes
Since Baidu, Inc. (BIDU) completed its going public transaction in August 2005 on the NASDAQ Stock Market, many U.S. investors have found themselves fascinated and frustrated by Chinese companies. Baidu, a technology giant and AI developer offering, among… Read More
Category: Blog Posts Tags: Aliaba, China Publicly Traded, Chinese Issuer, Foreign Issuer, Foreign Private Issuer, Form F-1 Registration Statement, Form S-1 Offering, Form S-1 Resale, Go Public, Going Public, Going Public Law Firm, HFCAA, nasdaq, NASDAQ stock market, New York Stock Exchange, nyse, PCAOB, SEC Attorney, SEC Lawyer, SEC Reporting, SEC Reporting Obligations
On August 15, 2022, the Securities and Exchange Commission (the “SEC”) charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase… Read More
Category: Blog Posts Tags: Anna Tang, Avatele Group LLC, Breanne Wong, Catanga International S.A., Christophe Maerani, Christopher Smith, CMGO, Davies Wong, Distributions Bano, Dodd Frank Bounty, dodd-frank, Glenn B Laken, GMER, Good Gaming, Good Gaming Inc, H.E. Capital SA, hacking, Harmony Ridge Corp, Inc, Jason Black, Jeffery D Cox, LBTD, Lotus Bio-Technology Development Corp, Maximum Ventures Holdings LLC, Phillip Sewell, POP Holdings Ltd, Rahim Mohamed, Richard Smith, Richard Tang, Robert Seeley, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Unregistered Dealer, Zoltan Nagy
On August 10, 2022, the Securities and Exchange Commission (the “SEC”) charged broker-dealer Alpine Securities Corporation, its former Chief Executive Officer Christopher Doubek, and its current Chief Operations Officer Joseph Walsh with engaging in a series of unauthorized… Read More
Category: Blog Posts Tags: Alpine Securities Corporation, Christopher Doubek, Dodd Frank Bounty, dodd-frank, Financial Industry Regulatory Authority, FINRA, Joseph Walsh, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension
On September 15, 2021, the Securities and Exchange Commission (the “SEC”) charged Simon Piers Thurlow, Richard Oravec, Bryce Emory Boucher, attorney Roger Leon Fidler, and his son, Bradley Fidler, for fraud and illegally offering unregistered securities. The SEC… Read More
Category: Blog Posts Tags: Bradley Fidler, Bryce Emory Boucher, Dodd Frank Bounty, dodd-frank, Dolat Ventures Inc, DOLV, Going Public, JB&ZJMY Holding Company Inc, JBZY, Joseph D Jordan, Pivo Assoc. Inc, Richard Oravec, Roger Leon Fidler, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Simon Piers Thurlow, trading suspension, Unregistered Dealer, Western Bankers Capital Inc
August 2, 2022 — The Securities and Exchange Commission (the “SEC”) today announced settled charges against a convertible note dealer, Crown Bridge Partners, LLC, and its managing members, Soheil and Sepas Ahdoot of Great Neck, N.Y., for… Read More
Category: Blog Posts Tags: Crown Bridge Partners LLC, Dodd Frank Bounty, dodd-frank, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Sepas Ahdoot, Soheil Ahdoot, trading suspension, Unregistered Dealer
SEC Registration Statements And Direct Public Offerings Q & A
SEC Registration Statements And Direct Public Offerings Q & A Filing a Form S-1 registration statement is the most efficient and reliable method for a private company to obtain public company status. Using a Form S-1 registration statement,… Read More
Category: Blog Posts Tags: Direct Public Offering, DPO, FINRA, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 211, Form 8-K, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, initial public offering, IPO, Market Maker, PCOAB, Periodic Reporting, propectus, Q&A, Registration Statement, S-1, SEC, SEC Comments, SEC Periodic Reporting, SEC Registration Statement, SEC review, Securities Act, Securities Act of 1933, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer