Exchange Act - Going Public Lawyers
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
Category: Blog Posts Tags: Class of Securities, Direct Public Offering, DPO, Exchange Act, Form 10, Form 8-A, Form S-1, Form S-1 Attorney, Form S-1 Going Public, Form S-1 Registration Statement Lawyer, Form S-1 Registration Statement Lawyers, Go Public, Go Public 2018, Go Public Attorney, Go Public Attorneys, Go Public Law Firm, Go Public Lawyer, Go Public Lawyers, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Initial Public Offering, IPO, Registration Statement, Securities Act, Securities Law Blog, Securities Lawyer, Securities Offering
Issuers filing registration statements using a direct public offering in their going public transactions must comply with the disclosure requirements of Form S-1. These include Item 11A of Form S-1 as set forth below. Form S-1 Item 11A Material Changes If… Read More
Category: Blog Posts Tags: Exchange Act, Filing Form S-1, Form 10-Q, Form 10-Q Attorney, Form 10-Q Lawyer, Form 8-K, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Disclosure and SEC Reporting Requirements, Form S-1 Going Public, Form S-1 Lawyer, Form S-1 Lawyers, Form S-1 Registration Statement, Form S-1 Registration Statement Lawyer, Form S-1 Registration Statement Lawyers, Going Public, Going Public Attorney, Going Public Attorneys, Securities Law Blog, Securities Lawyer
On April 6, 2018, the Securities and Exchange Commission charged Clifton Stanley in a $2.4 million Ponzi scheme and in a related, $1.4 million offering fraud targeting retirees. The SEC’s complaint alleges that, from 2010 to 2017, Clifton… Read More
Category: Blog Posts Tags: 5(c) and 17(a), Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Carol Hahn, Clifton Stanley, country club memberships, elderly victims, Exchange Act, Fraud, Lifepay, Multimillion Dollar Ponzi Scheme, Ponzi Scheme, retirees, Rule 10b-5, Scott Mascianica, SEC Action, SEC Complaint, SEC Emergency Action, SEC Enforcement, SEC Law, SEC litigation, Section 10(b), Section 15(a), Sections 5(a), Securities Act of 1933, Securities Exchange Act of 1934, Securities Law Blog, Seniors, Targeting Seniors, Texas, Timothy McCole, Tom Keltner, travel
On April 4, 2018, the Securities and Exchange Commission charged Michael Liberty, the founder of the fintech startup now known as Mozido, Inc., with a fraudulent scheme to trick hundreds of investors into investing in his shell companies… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Defraud, Defraud Investors, Exchange Act, fintech startup, founder, Fraudulent Scheme, Fund, Investors, Kevin Currid, Marc Jones, Michael Liberty, Misappropriate Funds, Peter Bryan Moores, Rule 10b-5, Scheme, SEC Action, SEC Complaint, SEC Emergency Action, SEC Enforcement, SEC Law, Section 10(b), Section 15(a), Section 17(a), Sections 5(a), Securities Act of 1933, Securities Exchange Act of 1934, Securities Law, Securities Lawyer 101, Trevor Donelan
On April 4, 2018, Christopher Lollar has agreed to settle SEC charges that he conducted insider trading ahead of a market-moving announcement about the company’s discovery of a significant new oil source. The SEC alleges in its complaint,… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, christopher Davis., Christopher Lollar, Exchange Act, Exchange Act of 1934, Insider Trading, Insider Trading Case, Insider Trading Charges, Oil, Rule 10b-5, SEC Investigation, SEC Law, SEC litigation, Section 10(b), Securities Lawyer 101, Settles Charges, Tamara McCreary, Trading, Ty Martinez
One March 22nd the Securities and Exchange Commission announced settled charges against McKinley Mortgage, the operators of a real estate investment business who engaged in a years-long scheme to bilk hundreds of investors – including many retail investors… Read More
Category: Blog Posts Tags: Alaska Financial Company, Anti-fraud, antifraud, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Caleb Preston, Charles Preston, Defraud, Defraud Retail Investors, Defrauded Investors, Exchange Act, Fraud, Going Public Attorney, Going Public Lawyer, Laura Sanford, McKinley Mortgage, Scheme, SEC, SEC Action, SEC antifraud, SEC Attorney, SEC Charges, SEC Lawyer, SEC litigation, Securities Act of 1933, Securities Attorney, Securities Attorney Brenda Hamilton, Securities Blog, Securities Fraud, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, Tobias Preston
Foreign Private Issuers that are subject to the reporting requirements of the Securities Exchange Act of 1934, as amended, (the “Exchange Act), must provide periodic reports to the Securities & Exchange Commission. These include an annual report on Form 20-F… Read More
Category: Firm News Tags: Exchange Act, Foreign Company, Foreign Issuer, Form 20-F, Form 6-K, Go Public, Going Public, Issuer, Periodic Report, Periodic reporting, Registration Statement, SEC Reporting, SEC Reporting Attorneys, Securities Act, Securities Exchange Act
Securities Lawyer 101 Blog 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 blog post addresses common questions we receive… Read More
Category: Blog Posts Tags: 15c-211, Exchange Act, Form 10, Form 10 Information, Form 10 Registration Statement, Form S-1, Form S-1 Lawyer, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Market Maker, OTC Markets, OTCQB, Pink Sheet, Public Shell, Registration Statement, Reverse Merger, Securities Attorney, Securities Law Blog, Securities Lawyer, Securities Offering
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 offering (DPO), issuers can file a registration statement under the… Read More
Category: Blog Posts Tags: Class of Securities, Direct Public Offering, DPO, Exchange Act, Form 10, Form 8-A, Form S-1, Go Public, Going Public Attorney, Going Public Lawyer, Initial Public Offering, IPO, Registration Statement, Securities Act, Securities Offering
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
Category: Blog Posts Tags: Exchange Act, Exchange Act Registration, Foreign Company, Foreign Issuer, Foreign private issuer, Foreign Private Issuers, Go Public, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Rule 12g3-2(b), Securities Act, Securities Exchange
