The “Genius” Plan: Penny Stock Insiders vs. Section 5 (Guess Who Wins)
Officers, directors, and other insiders try to “control” the flow of public sales - sometimes under the banner of Rule 144 -…
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Ronald Bauer Sentenced To 20 Months For Pump-And-Dump Scheme
On March 20, 2025, the United States Attorney for the Southern District of New York announced that RONALD BAUER was sentenced to…
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Whistleblower Frequently Asked Questions
The Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of the…
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SEC Enforcement Actions and Regulatory Evolution 2019–2025
A Comprehensive Review of Trends, Cases, and Compliance Takeaways Prepared by Hamilton & Associates Law Group, P.A. — Securities Lawyer 101. This…
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Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action
In his dissent, Uyeda seems to accept the generally accepted description of variable-rate convertible notes as "toxic" and "death spiral" financings that…
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SEC Nails BF Borgers and Ben Borgers – Issuers Must Obtain New Auditors
On May 3, 2024, the Securities and Exchange Commission provided a statement for issuers impacted by its enforcement action against BF Bofgers…
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