Reverse Merger - Securities & Going Public Lawyers

Beware of Lawyers Bearing Gifts – Custodianship Shells and Reverse Mergers

The Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies especially when reverse mergers are involved, and would like to see them gone from the marketplace.  To that end, its Enforcement Division cooked up an… Read More

Attorney Adam Tracy & the Nefarious World of Custodianship Shells

The Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies, and would like to see them gone from the marketplace.  To that end, its Enforcement Division cooked up an initiative it called  “Operation Shell-Expel”.  It… Read More

What Is An Unregistered Broker? – Going Public Lawyers

The Securities and Exchange Commission (the “SEC”) is pursuing unregistered broker or broker dealer activity which runs rampant in the penny stock markets particulary in transactions involving reverse merger companies. Often these unregistered broker-dealers claim to be exempt… Read More

Attorney Adam Tracy & the Nefarious World of Custodianship Shells

The Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies, and would like to see them gone from the marketplace.  To that end, its Enforcement Division cooked up an initiative it called  “Operation Shell-Expel”.  It… Read More

Operation Bermuda Short In Retrospect

Many penny stocks have bad histories, or are associated with questionable players.  Only last December, convicted felon Edward Durante was civilly and criminally charged in a securities fraud and manipulation scheme he’d embarked upon immediately after leaving prison… Read More

How Do I Register A Direct Public Offering?

Securities Lawyer 101 Blog Private companies seeking to go public often use a direct public offering (“Direct Public Offering”).  Unlike an Initial Public Offering (“IPO”), a Direct Public Offering allows an issuer to sell its shares directly to investors without… Read More

What is Form 10 Information? Going Public Attorneys

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

SEC Seeks Enforcement Action After Reverse Merger

    The Securities and Exchange Commission (SEC) filed an action to enforce compliance with document and testimony subpoenas served upon Jessica Gilbertson in an SEC investigation for possible violations of the securities laws captioned In the Matter… Read More

Why Operation Shell Expel Gets an F

Between January of 2000 and present, the Securities and Exchange Commission (the “SEC”) has suspended or halted thousands of publicly traded companies under its highly publicized agenda known as Operation shell Expel.  Many were dormant penny stock issuers suspended… Read More

What Is Wrong With Buying a Shell To Go Public?

Securities Lawyer 101 Blog Between January of 2000 and present, the Securities and Exchange Commission (the “SEC”) has suspended or halted thousands of publicly traded companies.  Many were dormant penny stock issuers suspended to prevent corporate hijackings by fraudsters… Read More