SEC Attorney - Securities & Going Public Lawyers

Ranjan Mendonsa and Ammar Akbari Charged with Insider Trading

The Securities and Exchange Commission (SEC) announced on October 1, 2015 that on September 28, 2015, the Honorable Haywood Gilliam of the United States District Court for the Northern District of California entered a final judgement against defendants Ranjan Mendonsa… Read More

SEC Charges Six in Securities Fraud Scheme

On September 24, 2015 the Securities and Exchange Commission (SEC) charged six men, including a father and three sons, with securities fraud associated with Gerova Financial Group Ltd., whose shares once traded on the New York Stock Exchange. In a parallel… Read More

$32 Million Amber Mining Pyramid Scheme Halted by the SEC

  On October 1, 2015, the Securities and Exchange Commission (“SEC”) announced it had frozen the assets and filed fraud charges against the operator of a worldwide pyramid scheme who falsely promised investors that they would profit from a… Read More

Going Public Shareholder Requirements l Going Public Lawyers

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. All companies seeking… Read More

Boiler Rooms Booming In 2015

Over the past few weeks, we have had multiple requests from investors to review information they received after calls from boiler room sales persons. No doubt the increase in phone rooms has resulted from Rule 506(c) which allows… Read More

Don’t Be A Sucker – Reverse Mergers & Form 10 Shells

Form 10 Shells are often sold for reverse merger transactions.  A Form 10 shell is a company with no or nominal operational activity that are “Public Companies” meaning they are obligated to file reports with the Securities and… Read More

The Role of the Direct Public Offering Attorney

Securities Lawyer 101 Blog The direct public offering (“Direct Public Offering“) has become the premier method used in going public transactions.  A skilled Direct Public Offering attorney can guide a private company through the Direct Public Offering process. A… Read More

What are Convertible Securities? l Securities Lawyer 101

Securities Lawyer 101 Blog A “convertible security” is often structured as a bond, note, preferred stock, or a wraparound agreement that results in the conversion of the debt obligation into common stock.  The holder of the convertible security or… Read More

What Are EB-5 Offering Requirements? Going Public Lawyer

Securities Lawyer 101 Blog The EB-5 offering visa program grants foreign investors a green card for themselves and their immediate family in exchange for a capital investment of at least $500,000 in a qualified U.S. business enterprise.  To qualify… Read More

SEC Charges 3 Regions Bank Executives

Securities Lawyer 101 Blog On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced fraud charges against three former senior managers of Regions Bank for intentionally misclassifying loans that should have been recorded as impaired for… Read More