Posted on
March 23, 2024
Foreign companies going public in the United States must file a registration statement covering a class of securities pursuant to the Securities Exchange Act of 1934, as amended (“Exchange Act”) if the class of securities will be listed… Read More
Blog Posts Direct Listing , Direct Public Offering , DPO , Dual Listing , Emerging Growth Company , Foreign Issuer , Foreign Private Issuer , 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 , Form S-3 , Form S-4 , 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 , listing requirements , nasdaq , nyse , OTC Markets , OTC Markets Attorney , OTC Markets Dual List , OTC Markets Lawyer , OTCQX , OTCQX Attorneys , OTCQX Eligibility , OTCQX listing requirements , OTCQX Quotation , Penny Stock Attorney , Penny Stock Lawyer , Pot Stocks , Prospectus , Prospectus Requirements , Public Company , 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 , SEC Attorney , SEC Forms , SEC Lawyer , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , Section 12(b) , Section 12(g) , securities , Securities Act , Securities Attorney , Securities Exchange Act
Posted on
March 22, 2024
OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) to have an initial and ongoing $0.01 per share minimum bid price, submit an initial OTCQB application, pay annual fees,… Read More
Blog Posts 10-K , 10-Q , 15c-211 , 15c2-11 , attorney letter , broker-dealer , confidential , Confidential Form S-1 , Direct Public Offering , Direct Public Offering Attorney , Direct Public Offering Attorneys , Direct Public Offering Lawyer , Disclosure Statement , DPO , Exchange Act , Financial Industry Regulatory Authority , Financial Statements , FINRA , Form 1-A , Form 1-K , Form 1-SA , Form 1-Z , Form 211 , Form S-1 , Form S-1 Attorney , Form S-1 Lawyer , Form S-1 Registered Offering , Form S-1 Registered Stock , Form S-2 , Form SEC , Go Public Direct , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , initial public offering , investors , IPO , Market Maker , nasdaq , New York Stock Exchange , nyse , otc , OTC Markets , OTC Markets Alternative Reporting , OTC Markets and Sponsoring Market Maker , OTC Markets Attorney , OTC Markets Group , OTC Markets Lawyer , OTC Markets Link , OTC Markets Market Maker , OTC Markets OTC Pink , OTC Markets OTC Pink Common Disclosure Issues , OTC Markets OTCQB , OTC Markets OTCQX , OTC Markets Sponsoring Market Maker , OTC Pink , OTCQX , Penny Stock , Pink Current , Pink Limited Information , Pink No Information , pink sheets , Public Company , Public Disclosures , Registered Direct Public Offering , Registration Statement , Regulation A , Regulation A Qualification , Regulation A Reporting , Regulation C , Regulation S-K , Regulation S-X , Reporting Requirements , Rule 15c2-11 , S-1 registration statement , SEC , SEC Comments , SEC Division of Corporation Finance , SEC Effectiveness , SEC Qualification , SEC Reporting , SEC Reporting Obligations , SEC Reporting Requirements , Securities Act , Securities Act of 1933 , Securities and Exchange Commission , Securities Attorney , Underwriter , Underwriting
Posted on
March 21, 2024
Going public transactions can be structured in numerous ways. The going public process is complicated and intricate, and it is important to have an experienced securities attorney to help your company navigate it and deal with the Securities… Read More
Blog Posts Direct Listing , Direct Listing Requirements , Direct Public Offering , Foreign Company , Foreign Issuer , Foreign Private Issuer , Form 10 , 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 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
Posted on
March 19, 2024
Private companies seeking to raise capital often file a registration statement on SEC Form S-1 to meet certain requirements of the Financial Industry Regulatory Authority when going public. Upon filing, a Form S-1 is reviewed by the Securities and Exchange Commission, who may render SEC Comments. Once a Form S-1 is declared effective by the SEC, the company becomes subject to SEC reporting requirements. All companies qualify to use and must comply with Form S-1
Blog Posts 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 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
Posted on
March 15, 2024
Form 10 is a Registration Statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”). This article addresses common questions we receive from clients about Form 10… Read More
Blog Posts Class of Securities , Direct Public Listing , Direct Public Offering , Exchange Act , Form 10 , Form 10 Attorney , Form 10 Attorneys , Form 10 Disclosures , Form 10 Effective , Form 10 Lawyer , Form 10 Lawyers , Form 10 Registration , Form 10 Registration Statement , Form 10 Shell , Form 10 Shell Company , Form 10 Shells , Form 8-A , Form S-1 , Form S-1. Registration Statement , Go Public , Go Public Direct , Going Public , Public Company , Public Company Reporting , Register Securities , Registration Statement , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , Securities Exchange Act
Posted on
March 15, 2024
Tier 1 of Regulation A provides an exemption for securities offerings of up to $20 million in a 12-month period, while Tier 2 provides an exemption for securities offerings of up to $75 million in a 12-month period.
Blog Posts , Going Public Direct Listing , 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 8-A , Form F-1 , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Lawyer , Form S-1 lawyers , Form s-1 registration statement filing , 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 , OTC Markets , Prospectus , Prospectus Requirements , Register Securities , Registration Statement , Regulation 1-SA , Regulation A , Regulation A Disclosures , Regulation A Filings , Regulation A Form 1-k , Regulation A Reporting , Regulation A Reports , Regulation A Rule , Regulation S-K , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , 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 Act , Securities Act of 1933 , Securities Exchange Act , Securities Offering , securities offerings , Selling Stockholder Requirements , Semi-annual reports on Form 1-SA , tier 1 , Tier 2
Posted on
March 12, 2024
Private companies going public should consider Form S-1 filing requirements when contemplating their securities offering. Private companies seeking to raise capital often file a registration statement on SEC Form S-1 to meet certain requirements of the Financial Industry Regulatory Authority when going public. Upon filing,… Read More
Blog Posts broker-dealer , confidential , Confidential Form S-1 , Confidential Registration Statement , Confidential Submission , Direct Listing Lawyer , Direct Public Offering , Direct S-1 Listing , DPO , Emerging Growth Company , Financial Industry Regulatory Authority , FINRA , Form 10 , Form 10 Registration , Form 10 Registration Statement , 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 Going Public Law Firm , 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 Registered Stock , 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 , Form S-2 , Go Public , Go Public Attorney , Go Public Lawyer , Going Public , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , going public transactions , initial public offering , IPO , nasdaq , New York Stock Exchange , nyse , OTC Markets , OTC Markets Lawyer , Prospectus , Prospectus Requirements , Regulation C , Regulation S-K , Regulation S-X , S-1 Going Public , S-1 registration statement , SEC , SEC Comments , SEC Division of Corporation Finance , SEC Quiet Period , SEC Registration Statement , SEC Reporting Requirements , Securities Act of 1933 , Securities and Exchange Commission , Securities Attorney , securities offerings , Underwriter , Underwriting
Posted on
March 11, 2024
We’ve often written about “toxic” promissory notes or preferred stock and the unregistered dealers who purchase them. These dealers are not the broker-dealers ordinary retail investors have accounts with. They are individuals with companies of their own that… Read More
Blog Posts Awesome Penny Stocks , Bergio International Inc , BRGO , broker-dealer , Convertible Notes , Dilution , Dilution Funder , events of default , Expert Market , Form 211 , Form 8-K , Grey Market , Ibrahim Almagarby , Joshua Sason , Lustros Inc , Magna Group , Microcap Equity Group LLC , microchips , naked shorting , nasdaq , Nasdaq Capital Market , NewLead Holdings Ltd , Operation Bermuda Short , OTC issuers , OTC Markets , Penny stocks , Pierre Hillion , preferred stock , promissory notes , Reg SHO , revere split , Rule 144 , Sandy Winick , SEC , Securities and Exchange Commission , Short Sellers , Short Selling , Theo Vermaelen , Tippy Inc , Toxic Funders , toxic notes , unregistered dealers , Vis Vires Group Inc , Zachary T Knepper
Posted on
March 11, 2024
Periodic Report Large Accelerated Filers Accelerated Filers Non-Accelerated Filers Form 10-K for Fiscal Year Ended December 31, 2023 February 29, 2024 March 15, 2024 April 1, 2024 Form 10-Q for Fiscal Quarter Ended March 31, 2024 May… Read More
Blog Posts 10-K , 10-Q , 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-K deadline , Form 10-Q , Form 10-Q deadline , Form 3 , Form 4 , Form 5 , Form 8-K , Form 8-K Current Report , Form 8-K deadline , Form 8-K SEC Disclosure and Requirements , Form 8k , Insider Reports , Investment Control , material information , press release , Public Company , Regulation FD , Reporting Company , 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 press release requirements , SEC Registration , SEC Reporting , SEC Reporting Company , 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 , What are SEC Reporting Requirements
Posted on
February 21, 2024
On February 14, 2024, the United States Court of Appeals for the Southern District of Florida made its ruling in the case of the Securities and Exchange Commission versus Ibrahim Almagarby and Microcap Equity Group, LLC, ruling in… Read More
Blog Posts Almagarby , Aluf Holdings , Appeals Court , AXCG , Axxess Pharma , Big Apple Consulting , Big Apple Consulting USA Inc , Broker , broker-dealer , Bulova Technologies Group , CD International Enterprises , convertible debt , Convertible Note , convertible note lender , Convertible Notes , convertible promissory note , CUBA Beverage Company , Daniels Corporate Advisory Company , dark , David Foley , Dealer , death spiral financing , debt conversion , defunct , Dewmar International BMC , Dilution , Dilution Financing , Dilution Funder , District Court , East Coast Diversified Corp. , ELRA , Elray Resources , Energy Revenue America , enforcement action , Exchange Act Section 15(a) , Eyes on the Go , financing agreement , Finders , Gold & Silver Mining of Nevada , Gold and GemStone Mining Inc. , Green Energy Enterprise , Green Energy Enterprises , Greenfield Farms Food , Grid Petroleum Corp./ Simlatus Corporation , GYOG , Halberd Corporation , HAON , Healthnostics , Healthy & Tasty Brands Corporation (a/k/a GRILLiT , Hybrid Coating Technologies , Ibrahaim Almagarby , Ibrahaim Almagarby Microcap Equity Group , Ibrahim Almagarby , In Ovations Holdings , Inc , Indo Global Exchange(s) Pte , InoLife Technologies , InternetArray , JDF Capital , JMJ Financial , John Fierro , judgment , Justin Keener , Las Vegas Railway Express , LIG Assets , Ltd. , Marcia G Cooke , Medical Care Technologies Inc. , Microcap , Microcap Equity , Microcap Equity Group , Microcap Equity Group LLC , microcap securities , Microcap Stock , MyECheck , Next Galaxy Corp. , North American Cannabis Holdings , OTC Markets , OTC Markets Group , Penny Stock , Penny Stock Bars , Penny Stock Investor , Penny Stock Issuer , Penny stocks , PM&E , ponzi scheme , PotNetwork Holdings Inc. , PPJ Healthcare Enterprises , QASP , Quasar Aerospace Industries , regulation , reverse split , Robert W Lowry , Ronald E. Pipoly Jr , Rule 144 , Sanomedics , SARS , scam , SEC , SEC Action , SEC Administrative Proceeding , SEC Attorney , 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 , securities , Securities and Exchange Commission , Securities Attorney , Securities Fraud , securities law , Securities Law Defense , Seven Arts Entertainment , stock scheme , stock trading , stocks , Suspicious Activity Reports , Toxic Convertible Note , toxic financing , Toxic Financings , Toxic Funder , Toxic Funders , toxic funding , toxic lending , Underwriter , United States Court of Appeals for the Southern District of Florida , Unregistered Broker , Unregistered broker-dealer , Unregistered Dealer , US District Court for the Southern District of Florida
Posted on
February 12, 2024
On February 5, 2024, the Securities and Exchange Commission (the “Commission”) obtained a final judgment against defendant Jeffrey Auerbach, whom the SEC previously charged for his role in a fraudulent scheme to bribe a stockbroker to buy a… Read More
Blog Posts bribery , bribery scheme , broker bribery scheme , broker-dealer , final judgment , Financial Industry Regulatory Authority , FINRA , Forcefield Energy Inc , Gino M. Pereira , Jarid Mitchell , Jeffrey Auerbach , LogicMark Inc , nasdaq , Nxt-ID Inc , NXTD , Richard Brown , Richard St. Julien , SEC , SEC Attorney , SEC Complaint , Securities and Exchange Commission , stock fraud
Posted on
February 12, 2024
Section 5 of the Securities Act of 1933, as amended, (the “Securities Act”) requires the offer and sale of securities to be registered under the Securities Act, unless the security or transaction qualifies for an exemption from registration. Rule… Read More
Blog Posts attorney , Legal Opinion , Legal Opinion Lawyer , Legend , Legend Removal , Legend Removal Opinion , Opinion , Restricted Legend , Rule 144 , Rule 144 Legal Opinion , Rule 144 legal Opinions , Rule 144 Legend , Rule 144 Legend Opinion , Rule 144 Legend Removal , Rule 144 Opinion , Rule 144 Safe Harbor , Section 5 , Securities Act , Securities Act of 1933 , Securities Act Section , Tradability Opinion , Transfer Agent Opinion
Posted on
February 6, 2024
Most investors are likely unaware that they can petition the SEC for new rules or changes to old ones. They can even ask that rules be entirely repealed. All that’s needed is to send a proposal to the… Read More
Blog Posts COIN , Coinbase Global , Enforcement Division , FINRA , Gary Gensler , Hester Pierce , NCLA , New Civil Liberties Alliance , petition , regulation , rule change , rules , SEC , SEC Complaint , SEC enforcement , SEC enforcement action , SEC Investigation , SEC Subpoena , Securities and Exchange , Securities and Exchange Commission , Securities Attorney , Toxic Lender , Unregistered DealerSecurities Act , Vanessa Countryman
Posted on
February 2, 2024
The Securities and Exchange Commission (“SEC”) has published releases relating to Shell Companies that affect the use of Rule 144 of the Securities Act of 1933, as amended (the “Securities Act”), by shareholders of Shell Companies. In addition,… Read More
Blog Posts Legal Opinion , Legend Removal , Legend Removal Opinion , Rule 144 , Rule 144 Legal Opinion , Rule 144 legal Opinions , Rule 144 Legend , Rule 144 Legend Opinion , Rule 144 Legend Removal , Rule 144 Opinion , Rule 144 Safe Harbor , Section 5 , Securities Act Section 5 , Shell Company , Tradability Opinion , Transfer Agent Opinion
Posted on
February 1, 2024
On January 25, 2024, the Securities and Exchange Commission announced that Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), agreed to settle charges that it made misleading statements in forms filed with the SEC as… Read More
Blog Posts cease-and-desist , initial public offering , IPO , Northern Star Investment Corp. II , penalty , SEC , SEC Complaint , SEC Order , Securities and Exchange Commission , Securities Attorney , SPAC , Special Purpose Acquisition Company
Posted on
January 30, 2024
On January 29, 2024, the Securities and Exchange Commission (the “SEC“) charged Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their involvement in a fraudulent crypto asset pyramid scheme known as HyperFund that raised… Read More
Blog Posts bitcoin , Bitcoin Beautee , Brenda Chunga , crypto , crypto scam , HyperFund , HyperNation , HyperVerse , pyramid scheme , Sam Lee , scam , Securities Attorney , Xue Lee
Posted on
January 26, 2024
On January 23, 2024, the Securities and Exchange Commission (the “SEC”) announced the filing of an enforcement action against Aryeh Goldstein, a resident of Florida and New York, and two entities he controls, Adar Bays, LLC, located in… Read More
Blog Posts Adam Long , Adar Alef LLC , Adar Bays LLC , Alexander J Dillon , Alfred Sollami , Aluf Holdings , Aryeh Goldstein , Auctus Fund LLC , Auctus Fund Management LLC , Axxess Pharma , BHP Capital NY Inc , broker-dealer , Bryan Panofel , Bulova Technologies Group , Carebourn Capital LP , CD International Enterprises , Chicago Ventures Partners LP , Chip Alvin Rice , Convertible Note , Convertible Notes , Cosmin I Panait , Crownbridge Partners LLC , Daniels Corporate Advisory Company , Edward M Liceaga , George Investments LLC , GPL Management LLC , GPL Ventures , Ibrahim Almagarby , Iliad Research and Trading LP , JMJ Financial , John M. Fife , Joseph Lerman , Justin W Keener , L2 Capital LLC , Las Vegas Railway Express , LG Funding LLC , LIG Assets , Louis Posner , Microcap Equity Group LLC , Miles M Riccio , Morningview Financial LLC , Oasis Capital LLC , otc , Penny stocks , River North Equity LLC , SEC , SEC Action , SEC Actions , SEC Complaint , SEC enforcement , SEC Subpoena , Securities and Exchange Commission , Securities Fraud , Sepas Ahdoot , Soheil Ahdoot , Tonaquint Inc , Toxic Lender , Typenex Co-Investment LLC , Unregistered broker-dealer , Unregistered Dealer
Posted on
January 16, 2024
Four Canadian nationals and one former California attorney, who is believed to be residing in Mexico, were indicted on Jan. 9, 2024 in connection with long-running international securities fraud schemes in which they sold millions of shares in… Read More
Blog Posts Adam Christopher Kambeitz , Alon Friedlander , Andrew Dale Wise , Anthony Killarney , attorney , Benjamin Thompson Kirk , Chester Alvarez , Christopher Lee McKnight , Ciapala , Courtney M. Kelln , Courtney Vasseur , Craig James Auringer , Curtis Lehner , Daniel Mark Ferris , David Sidoo , Dean Shah , doj , Domenic Calabrigo , EVBC , Evolution Blockchain Group Inc , fbi , Francis Biller , fraud , Frederick L Sharp , Frederick Sharp , fugitive , Garmatex Holdings Ltd , Geoffrey Allen Wall , GRMX , Hasan Sario , Henry Clarke , Indictment , IQST , iQSTEL Inc , James M Agrim , Jay Scott Kirk Lee , Joseph Padilla , Julius Csurgo , Kenneth Ciapala , Luis Carrillo , Massimiliano Pozzoni , Mike V.G. Veldhuis , Money Laundering , nominees , OLMM , OneFlie Technologies Corp , Paul Sexton , Petar Dmitrov Mihaylov , PSNX , Pure Snax International Inc , Rajesh Taneja , Range Impact Inc , Raymond Dove , Richard Targett-Adams , RNGE , Roger Knox , Ronald Bauer , SEC , Securities Attorney , Securities Exchange Commission , Steve Bajic , Stevia First Corp , STVF , Tyler Crockett , Ubong Uboh , Ulrik Debo , VBIO , Vitality BioPharma Inc , WinterCap SA
Posted on
January 15, 2024
On January 12, 2024, the U.S. Attorney’s Office for the District of Minnesota announced Aditya Raj Sharma of Maple Grove, Minnesota, had been indicted for defrauding investors and financial institutions out of more than $10 million. According to… Read More
Blog Posts Aditya Raj Sharma , CARES Act , criminal charges , Crosscode Inc , doj , financial fraud , fraud , Indictment , Investement Fraud , Investment Fraud , Koudgaze Inc , PPP loan , Private Placement Memorandum , scam , SEC Action , SEC Divsion of Enforcement , SEC Subpoena , Securities Attorney , Securities Fraud
Posted on
January 13, 2024
On January 12, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Jonathan Farber, Aarif Jamani, and Brian Keasberry for securities fraud. According to the complaint filed by the SEC in the United States District Court… Read More
Blog Posts Aarif Jamani , Action Stock Transfer , Brian Keasberry , BRK Inc , BRKK , County , County Line Energy Inc , CYLC , dodd-frank , Emanuel Margaretis , fraud , Gen 2 Technologies Inc , Grow Bow EcoSystems , Jonathan Farber , MNIZ , OTC Markets , ponzi scheme , scam , SEC , SEC Action , SEC anti-fraud , SEC Attorney , SEC Division of Enforcement , SEC Divsion of Enforcement , SEC enforcement , SEC Lawsuit , SEC Lawyer , SEC Subpoena , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , stock manipulation
Posted on
January 9, 2024
On December 21, 2023, Siddharth Jawahar, 36, a former investment advisor, was indicted by a grand jury in U.S. District Court in St. Louis on three counts of wire fraud and one count of investment adviser fraud. The indictment… Read More
Blog Posts County , dodd-frank , doj , fbi , Indictment , Investment Fraud , OTC Markets , Philip Morris Pakistan , PMP , ponzi scheme , Ponzi Scheme Lawyer , scam , SEC , SEC Action , SEC anti-fraud , SEC Attorney , SEC Division of Enforcement , SEC Divsion of Enforcement , SEC enforcement , SEC Lawsuit , SEC Lawyer , SEC Subpoena , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , Siddharth Jawahar , stock manipulation , Swiftarc Capital , Swiftarc Capital LLC , United States Attorney
Posted on
January 5, 2024
On Tuesday, January 2, 2024, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule with the Securities and Exchange Commission (the “Commission”) seeking to tighten Rule 3240, which governs borrowing and lending between registered financial professionals and… Read More
Posted on
January 4, 2024
On January 3, 2024, the Securities and Exchange Commission (the “SEC”) announced that it obtained an asset freeze and other emergency relief concerning an alleged $93 million real estate investment fraud perpetrated by Miami-based developer Rishi Kapoor. The… Read More
Blog Posts Eiahi Kapoor , investment scam , investment scheme , investors , Location Ventures LLC , misappropriated funds , Ponzi Scheme Lawyer , real estate , real estate development fraud , Rishi Kapoor , SEC , SEC Action , SEC Divsion of Enforcement , SEC Subpoena , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Urbin LLC
Posted on
December 21, 2023
Short selling, the practice of betting a stock will go down, not up, has been controversial since it was invented more than 400 years ago in the Netherlands. In the early 1600s, there was only one stock in… Read More
Blog Posts Citron Research , County , dodd-frank , Dutch East India Company , Hindenburg Research , Isaac le Maire , Lehman Brothers. SEC Chair , Muddy Waters , Naked Short , OTC Markets , ponzi scheme , Sabby Management , scam , SEC , SEC Action , SEC anti-fraud , SEC Attorney , SEC Division of Enforcement , SEC enforcement , SEC Lawsuit , SEC Lawyer , SEC Subpoena , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , Seeking Alpha , Short and Distort , Short Sale , Short Seller , Short Selling , short trade , stock manipulation , Tingo Group
Posted on
December 18, 2023
On December 18, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Mmobuosi Odogwu Banye, a/k/a Dozy Mmobuosi, and three affiliated U.S.-based entities of which he is the CEO– Nasdaq-listed Tingo Group Inc., OTC-traded Agri-Fintech Holdings… Read More
Blog Posts ABTI , 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 , OTC Markets , 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
Posted on
December 8, 2023
M&A BROKERS EXEMPTION In December of 2022, President Biden signed the Consolidated Appropriations Act of 2023 into law. The new law includes a “policy rider” for certain mergers and acquisitions brokers (M&A brokers) in Division AA, Title V, Small… Read More
Blog Posts acquisition , broker-dealer , Consolidated Appropriations Act of 2023 , exemption , Joe Biden , M&A Broker , M&A exemption , merger , mergers and acquisitions , SEC Registration , Securities Attorney , Securities Exchange Act
Posted on
December 7, 2023
On December 6, 2023, a three-count indictment was unsealed in federal court in Brooklyn charging Raymond John Pirrello, Jr., also known as “Ray John,” with securities fraud conspiracy, wire fraud conspiracy and securities fraud relating to a scheme… Read More
Blog Posts Anthony DiTucci , bar , Broker , broker-dealer , criminal charges , doj , FINRA , fraud , Indictment , insider trading , JL Rivera Enterprises Ltd , Joseph Rivera , Late Stage management LLC , Lawrence Penna , Marcello Follano , Pre IPO Marketing Inc , pre-IPO , pre-IPO scam , Prior 2 IPO Inc , Prior2IPO , Raymond John Pirrello Jr , Raymond Pirrello , Robert Cassino , SEC , Securities and Exchange Commission , Thomas W. Avent Jr
Posted on
December 5, 2023
On December 4, 2023, Swiss private bank Banque Pictet et Cie SA admitted to conspiring with U.S. taxpayers and others to hide more than $5.6 billion in 1,637 secret bank accounts in Switzerland and elsewhere and to conceal… Read More
Blog Posts Banque Pictet et Cie SA , County , deferred prosecution , dodd-frank , fraud , Internal revenue service , IRS , Money Laundering , offshore accounts , OTC Markets , ponzi scheme , Scalping , scam , SEC , SEC Action , SEC anti-fraud , SEC Attorney , SEC Division of Enforcement , SEC enforcement , SEC Lawsuit , SEC Lawyer , SEC Section 17(b) , SEC Subpoena , Section 17(b) , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , settlement , stock manipulation , Swiss Bank , tax evasion , tax fraud , The Pictet Group
Posted on
November 29, 2023
In the past three years, some important changes have occurred to how “penny stocks” or “microcaps” trade and are regulated. By the early 2000s, they’d moved from the obscurity of the National Quotation Bureau’s Pink Sheets to a… Read More
Blog Posts AMC , AMC Entertainment Holdings , APES , APS , Awesome Penny Stock , CMKM Diamonds Inc , CMKX , compliance , Cromwell Coulson , delisting , Dilution , dormant shells , E-Trade , Eric Van Nguyen , Expert Market , Fidelity , FINRA , GameStop , GME , Grey Market , initial public offering , IPOs , John Babikian , low floats , Market-adjustable securities , meme stocks , microcaps , nasdaq , nyse , OTC Link , OTC Markets Group , OTCBB , Penny stocks , pink sheets , preferred stock , promissory notes , ramp-and-dump , Reddit , reverse split , Rule 15c211 , SEC , Securities Attorney , Shell , shell hijacking , shell peddler , stock manipulation , Stock Promotion , TD Ameritrade , warrants
Posted on
November 25, 2023
Registration Statements on Form S-3 is a short form registration statement under the Securities Act of 1933, as amended (the “Securities Act”), which may be used by NASDAQ, NYSE and OTC Markets public companies for follow-on offerings and public… Read More
Blog Posts Exchange Act Report , Form 10 , Form 10 Registration Statement , Form 10-K , Form 8-K , Form S-1 , Form S-1. Registration Statement , Form S-3 , Form S-3 Eligibility , Form S-3 Registration Requirements , Form S-3 Registration Statement , Form S-3 Requirements , Form S-3 shelf registration statement , Form S-4 , Going Public , Going Public Transaction , nasdaq , nyse , OTC Markets , Prospectus , Prospectus Supplement , public companies , Public Company , registration , Registration Statement , registration statements , s-3 , SEC Comment , SEC reporting issuer , SEC Reporting Requirements , SEC review , Securities Act , Securities Exchange Act , Securities Offering , Selling Shareholders , Selling Stockholders , Shelf Registration Statement , Shell Companies , Shell Company , Well-Known Seasoned Issuers. WKSI
OTC Markets 101 – The Basics of Listing – OTCQB
Posted onOTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) to have an initial and ongoing $0.01 per share minimum bid price, submit an initial OTCQB application, pay annual fees,… Read More
Category: Blog Posts Tags: 10-K, 10-Q, 15c-211, 15c2-11, attorney letter, broker-dealer, confidential, Confidential Form S-1, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Disclosure Statement, DPO, Exchange Act, Financial Industry Regulatory Authority, Financial Statements, FINRA, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form S-1 Registered Offering, Form S-1 Registered Stock, Form S-2, Form SEC, Go Public Direct, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, initial public offering, investors, IPO, Market Maker, nasdaq, New York Stock Exchange, nyse, otc, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTC Pink Common Disclosure Issues, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTCQX, Penny Stock, Pink Current, Pink Limited Information, Pink No Information, pink sheets, Public Company, Public Disclosures, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Regulation C, Regulation S-K, Regulation S-X, Reporting Requirements, Rule 15c2-11, S-1 registration statement, SEC, SEC Comments, SEC Division of Corporation Finance, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, Underwriter, Underwriting