Dodd Frank - Going Public Lawyers

Supreme Court Says SEC ALJ Appointments Are Unconstitutional

Supreme Court Addresses SEC ALJ’s On June 21, 2018 The Supreme Court handed down a ruling in Lucia et al. v. Securities and Exchange Commission; the Commission lost, 7-2.  At issue was whether the SEC’s method of appointing… Read More

Accredited Crowdfunding Q & A – Going Public Lawyers

Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (“Securities Act”) are a cost effective and relatively quick way for private companies to raise capital before, during, and after a… Read More

Securities & Forensic Attorneys

SEC Enforcement Attorney

Pump and dump schemes, false financial statements, Ponzi schemes and other types of white collar crimes cost investors billions of dollars each year.  Forensic Attorneys are private attorneys who investigate these types of white collar crime. White collar crimes… Read More

What is a Bad Actor Under Regulation D?

Securities Lawyer 101 Blog On January 3, 2014, the Securities and Exchange Commission (the “SEC”) released Compliance and Disclosure Interpretations.  The release provided useful information about several topics including the JOBS Act’s recently enacted Rule 506 (c) pursuant… Read More

SEC Report Reveals Foreigners Among Dodd Frank Whistleblowers

Securities Lawyer 101 Blog The SEC’s 2013 Annual Report to congress on the Dodd-Frank whistleblower Program shows whistleblowers from 55 countries submitted tips to the SEC. Under the SEC’s whistleblower program, if a whistle-blower’s information leads to an… Read More

SEC Awards Whistleblower Bounty

Securities Lawyer 101 Blog On October 31, 2013, the Securities and Exchange Commission (the “SEC”)  announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. The award… Read More

Whistleblower Award $14 Million Bounty By SEC

Securities Lawyer 101 Blog On October 1, 2013, the Securities and Exchange Commission (the “SEC”) announced it had awarded more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds. … Read More

SEC Proposes Pay Ratio Disclosure Rule in Compliance with Dodd-Frank Act

Securities Lawyer 101 Blog On September 18, 2013, the Securities and Exchange Commission (“SEC”) voted to propose a new rule that would require public companies to state pay ratio disclosure of the compensation of its chief executive officer… Read More

SEC Rewards Dodd-Frank Whistleblowers

On August 30, 2013, the Securities and Exchange Commission (the “SEC”)  announced that it had awarded three whistleblowers for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund. The SEC’s whistleblower… Read More

Rule 506 Gives Bad Actors The Boot l Going Public Lawyers

Securities Lawyer 101 Blog On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) to