Going Public - Securities & Forensic Lawyers

Regulation A+ Q&A

Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings 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 risks… Read More

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

Private companies often file a registration statement on SEC Form S-1 in connection with their going public transaction.  The most commonly used registration statement form is Form S-1. All companies qualify to register securities on a Form S-1 registration statement. Private companies going public should… Read More

Regulation A+ Offering Disclosures – Regulation A+ Law Firm- Going Public Lawyers

Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a GoingPublic Transaction. Regulation A+ simplifies the process of obtaining the seed stockholders required… Read More

SEC Charges Amrit Chahal with Fraud

On April 16, 2018, the Securities and Exchange Commission charged Amrit Chahal with orchestrating an investment scheme over several years. The SEC’s complaint alleges that, from at least February 2015, Amrit Chahal, of Fairfax, Va., used his company,… Read More

SEC Detects William Gennity and Rocco Roveccio Defrauding Customers

On September 28, 2017, the Securities and Exchange Commission charged William Gennity and Rocco Roveccio with making unsuitable recommendations that resulted in substantial losses to customers and hefty commissions for the brokers. One of the brokers agreed to… Read More

Going Public Bootcamp – Going Public Attorneys – Securities Lawyer 101

  The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission (“SEC”) reporting company. Companies… 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

Who Is Eligible for Regulation A + Offerings? Posted by Brenda Hamilton, Securities Lawyer

A correctly designed Regulation A Offering Program can minimize your financial risk and significantly enhance your ability to raise money, but not how you may think.  Both issuers and selling shareholders can benefit from Regulation A+.  A few… Read More

What is a Direct Public Offering? Going Public Attorneys

Most small private companies are unable to find an underwriter prior to going public.  A direct public offering (“Direct Public Offering”) provides a viable solution to these companies. Using a Direct Public Offering  can allow the company to sell its shares… Read More

What is a NYSE Designated Market Maker? Posted by Brenda Hamilton

One of the most important decisions for a company going public is to choose the right market for listing the company’s shares. This is true for initial public and direct public offerings. The New York Stock Exchange (“NYSE”)… Read More