SEC Law - Securities & Going Public Lawyers

Cannabis Company Infinex Ventures and CEO Ronald Salem Charged with Fraud

On September 30, 2016, the Securities and Exchange Commission (“SEC”) filed fraud charges against cannabis company Infinex Ventures, Inc. and its CEO Ronald Salem. According to the SEC’s complaint filed in the U.S. District Court for the District of Colorado,… Read More

SEC Obtains Emergency Order to Prevent Anthony Buzaneli from Leaving U.S.

On August 26, 2016, Judge Susan Richard Nelson of the District of Minnesota issued an order requiring Anthony Buzaneli to surrender his passports and prohibiting him from leaving the United States until further order of the Court. The… Read More

Court Issues Asset Freeze Over James Hugh Brennan and Douglas Albert Dyer in Fraud Case

On July 22, 2016, the Honorable Travis R. McDonough of the Eastern District of Tennessee entered a court-ordered asset freeze to halt an ongoing fraud by two former brokers with disciplinary histories who allegedly raised more than $5… Read More

Information About Foreign Issuers and Foreign Companies

The U.S. capital markets have long been a desired goal for foreign companies that are interested in raising funds or establishing a trading market for their securities. Two of the most important laws applicable to companies seeking to… Read More

SEC Shuts Down 20 Bogus S-1 Registration Statements After Promotion Stock Secrets Research Report

Securities  Lawyer 101 Blog On February 3, 2014, the Securities and Exchange Commission (“SEC”) announced the filing of stop order proceedings against 20 purported mining companies for providing false information in their S-1 registration statements. Of the 20 S-1 registration statements,… Read More

The SEC Analyzes Rule 506 l Going Public Attorneys

Securities Lawyer 101 Blog In its recently proposed Regulation Crowdfunding (“Reg CF”), the Securities and Exchange Commission (“SEC”) produced some interesting statistics on the types of unregistered offerings that have been popular with smaller issuers and private companies… Read More

DTCC Identifies Cyber-Attacks as Most Significant Risk to Financial Markets

Securities Lawyer 101 Blog On August 7, Depository Trust & Clearing Corporation (DTCC) released a report identifying threats to the stability of the financial markets.  DTCC considers cyber-attacks that can bypass U.S. and E.U. industry security systems and laws to be the most significant… Read More

A New Crowdfunding Watchdog in Massachusetts

Securities Lawyer 101 Blog Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the new Rule 506 created in connection with the JOBS Act could encourage fraud if not effectively… Read More