Brenda Hamilton Attorney - Going Public Lawyers

SEC Files Subpoena in Possible Market Manipulation Scheme

The SEC filed a subpoena enforcement action against three penny-stock companies and their CEO – Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson – seeking an order directing them to comply with… Read More

SEC Obtains Judgment Against Former CEO John Place

On November 9, 2018, the SEC obtained a judgment against John Place, a former CEO of a brokerage consulting business who was charged by the SEC in August for his role in a multimillion dollar transition management fraud…. Read More

SEC Sues Orange County Investment Adviser, Craig Arsenault for Defrauding Clients

On December 14, 2018 the SEC charged Craig Arsenault, a California investment adviser with misappropriating client funds and misleading his clients about how their money was invested and how their investments were performing. The SEC is seeking an… Read More

SEC Obtains Final Judgment Against Gregory Webb, a Chicago Tech Executive

The SEC has obtained a final judgment against Gregory Webb, the former Chairman and CEO of a company purportedly in the homeland security business. In October 2011, the SEC charged  Gregory E. Webb, the Chairman and CEO of InfrAegis,… Read More

2018 Regulation A+ Q&A

Since Regulation A+ was adopted in 2015, it has gained notable market acceptance.  Regulation A+  provides an  offering that can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction allowing the issuer to avoid the… Read More

Regulation A + and Secondary Trading

The Securities & Exchange Commission’s amendments to Regulation A went into effect on June 19, 2015 and are now over three years old.  The amendments known as Regulation A+ have gained market acceptance not only by the OTC… Read More

SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme

The SEC filed a subpoena enforcement action against NVC Fund LLC and its principal, Frank Ekejija, seeking an order directing them to comply with an investigative subpoena for documents and testimony. According to the SEC’s application, filed on… Read More

The SEC Declared A Cease and Desist Proceedings with CoinAlpha Advisors LLC.

On December 7, 2018, CoinAlpha Advisors LLC  submitted an Offer of Settlement, which the SEC has determined to accept. CoinAlpha Advisors LLC consented to the Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making… Read More

SEC Voluntary Dismisses All Claims Against Jesse Litvak

On December 6, 2018, the U.S. District Court for the District of Connecticut entered an order dismissing, with prejudice, the U.S. Securities and Exchange Commission’s complaint against Jesse Litvak. The court’s order was based on the SEC’s motion… Read More

SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme

The SEC charged Michael Rothenberg, the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors to fund personal projects, including sending millions of dollars to his own virtual reality production company. The… Read More