Direct Public Offering - Going Public Lawyers

Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision

The Securities and Exchange Commission announced that Merrill Lynch, Pierce, Fenner & Smith has agreed to pay approximately $8.9 million to settle charges that it failed to disclose a conflict of interest arising out of its own business interests in… Read More

Form S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 …

Going public  using Form S-1 or Form 1-A allows issuers to chose from a variety of offering structures. Private companies seeking to raise capital often file a registration statement on SEC Form S-1 or Form 1-A of Regulation A in connection with their going… Read More

Why Does a Company Go Public? Going Public Attorneys

Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going public offers many benefits it also comes with risks and quantities of regulations with which issuers… Read More

Form 8-A and Form 10 Registration Statements

Form 10 and Form 8-A Registration Statements under the Securities Exchange Act Simultaneously or subsequent to the effectiveness of a registration statement under the Securities Act of 1933, as amended (the “Securities Act”) for an initial public offering (IPO) or direct public… Read More

Selling Shareholder Form S-1 Disclosures

Companies going public with Form S-1 or Regulation A + have a variety of structures for their transactions. Companies can sell shares in reliance upon Rule 506 of Regulation D and file a selling shareholder registration statement with the Securities and… Read More

Form S-1 Going Public Bootcamp – Regulation A – Form S-1

The process of “going public” with a Form S-1 registration statement is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of regulations with which issuers must become familiar.   It is important for issuers… Read More

Going Public Question and Answer – Securities & Going Public Attorneys

Going public is a big step for any company. Companies can go public and become listed on National Securities Exchanges like NASDAQ or the New York Stock Exchange (“NYSE”) or they can have their shares quoted on the… Read More

Going Public Using a Form S-1 Registration Statement

Going Public Using a Form S-1- 2018 Private companies going public commonly use a registration statement (“Registration Statement”) on Form S-1 under the Securities Act of 1933, as amended (the “Securities Act”). When a Form S-1 Registration Statement is… Read More

Form S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 …

Going public  using Form S-1 or Form 1-A allows issuers to chose from a variety of offering structures. Private companies seeking to raise capital often file a registration statement on SEC Form S-1 or Form 1-A of Regulation in connection with their… Read More

SEC Obtains Final Judgment Against Vincent Cassano Charged with Fraudulent Stock Promotion Scheme

On April 10, 2018, the U.S. District Court for the Western District of Washington entered a final judgment against Vincent Cassano for his role in a fraudulent stock promotion scheme. According to the SEC’s complaint, Lidingo Holdings, LLC hired… Read More