Securities Lawyer Blog l Going Public Blog

SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports

August 14, 2024

Cassava Sciences (SAVA) Faces an Indictment and at Least Two Investigations

August 13, 2024

Meta Materials (MMAT) Declares Chapter 7 Bankruptcy

August 12, 2024

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

August 11, 2024

SEC Awards Whistleblower a Bounty of More Than $37 Million

August 7, 2024

OTC Markets Group Guidance on Dilution Risk with Respect to OTCQX and OTCQB Applicants

August 4, 2024

Attorney Mark Basile to Participate in Federal Enforcement Action SEC v. Carebourn Capital L.P. and Chip Alvin Rice

July 30, 2024

Andrew Left of Citron Research Indicted by the DOJ and Charged by the SEC

July 29, 2024

Important Changes Are in Store for the SEC and Other Federal Agencies

July 3, 2024

Does FINRA Rule 6490 Impact Going Public Transactions?

July 2, 2024

FINRA Rule 6490 has had an important impact on going public transactions specifically reverse mergers with public shell companies.

Benefits of Direct Public Offerings

June 27, 2024

Xeriant, Inc. Fights Toxic Funder Auctus Fund in Appellate Court

June 26, 2024

Meta Materials Executives, John Brda and George Palikaras, charged with Market Manipulation, Fraud and Other Violations

June 25, 2024

What are the SEC Reporting Requirements After My Form S-1 is Effective?

June 17, 2024

SEC Regulation D Rule 506(b) and Regulation D Rule 506(c)

June 14, 2024

Going Public Using an S-1

June 14, 2024

Court denies James L. Koutoulas’ petition to quash SEC subpoena

June 13, 2024

Why use a Direct Public Offering (DPO) to Go Public on the OTC Markets

June 10, 2024

11th Circuit Upholds Unregistered Dealer Justin Keener SEC Judgment

May 30, 2024

Tips For Going Public With A Direct Public Offering

May 29, 2024

SEC Obtains $5.9 Million Judgment Against John Fierro in Unregistered Penny Stock Dealer Case

May 25, 2024

Are You Ready? T+1 Trade Settlement Begins Next Week

May 24, 2024

PCAOB Imposes a $400,000 Fine and Sanctions MaloneBailey, LLP for Pervasive Quality Control Violations

May 23, 2024

SEC Issues BF Borgers Exemptive Order For SEC Reporting Companies

May 21, 2024

CAT’s Cradle – Ongoing Problems with the SEC’s Consolidated Audit Trail

May 9, 2024

Trump Media’s auditing firm, BF Borgers, busted for “massive fraud”

May 7, 2024

SEC permanently bans BF Borgers and its owner Benjamin Borgers and fines them a combined $14 million for accounting fraud

May 3, 2024

SEC Nails BF Borgers and Ben Borgers – Issuers Must Obtain New Auditors

May 3, 2024

On May 3, 2024, the Securities and Exchange Commission provided a statement for issuers impacted by its enforcement action against BF Bofgers…

SEC Charges Convertible Note Dealer Tri-Bridge Ventures, LLC and John Francis Forsythe, III for Failure to Register

April 30, 2024

SEC obtains final judgment against relief defendant in George Stubos case

April 22, 2024

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