SEC Defense - Securities l Corporate l Business Law

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

Securities Lawyer 101 Blog Wins Third Place In Best Legal Blog Contest

Our readers have spoken.  Securities Lawyer 101 written by Brenda Hamilton, a securities and going public attorney has won third place in overall winners in The Expert Institute’s Best Legal Blog Competition. From a field of more than 2,000 legal… Read More

SEC Charges Four With Insider Trading Ahead of Secondary Offerings

On June 3, 2015, the Securities and Exchange Commission announced insider trading charges against four individuals stealing confidential information from investment banks and their public company clients in order to trade in advance of secondary stock offerings.  The… Read More

SEC Rule 10b-5 l Securities Lawyer 101

SEC Rule 10b-5 is the primary anti-fraud provision of the federal securities laws. It was adopted pursuant to Section 10(b) of the Securities Exchange Act of 1934 (“1934 Act”), as amended and is the primary rule used in securities… Read More