Registration Statement Lawyer - Securities l Corporate l Business Law

Sponsoring Market Makers l Going Public Bootcamp

Securities Lawyer 101 Blog One step in going public transactions is obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain a ticker, a sponsoring market maker must submit… Read More

Going Public Attorneys Helping Issuers

Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of regulations with which issuers must become familiar.  Despite… Read More

The SEC’s Oversight of the Registration Statement Process

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) is the key regulator of going public transactions, securities offerings and securities professionals. During the going public and registration statement process the SEC provides oversight of various professionals… Read More

SEC Settles Charges in We the People Charity Fraud Case By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog May 29, 2014, the Securities and Exchange Commission announced that a Florida husband and wife were charged last year with defrauding seniors through a purported charitable organization and agreed to pay more than $2… Read More

SEC Suspends Cannabusiness Group – By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog On May 7, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (“Exchange Act”), of trading of the securities of Cannabusiness… Read More

U.S. Issues Indictment Against Caribbean Money Laundering Operators

Securities Lawyer 101 Blog Joshua Vandyk, a U.S. citizen, and Eric St-Cyr and Patrick Poulin, Canadian citizens, were indicted for conspiracy to launder monetary instruments, the Department of Justice and Internal Revenue Service (IRS) announced on March 24,… Read More

Direct Public Offering Attorneys

Direct Public Offering Attorneys

One of the most efficient ways to achieve public company status is by using a Direct Public Offering.  We will assist you with your Direct Public Offering using a registration statement. Direct Public Offerings can be structured a variety… Read More

Securities & Forensic Attorneys

SEC Enforcement Attorney

Pump and dump schemes, false financial statements, Ponzi schemes and other types of white collar crimes cost investors billions of dollars each year.  Forensic Attorneys are private attorneys who investigate these types of white collar crime. White collar crimes… 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

Will Form 12b-25 Extend 10-Q’s Due Date? l Securities Lawyer 101

Securities Lawyer 101 Blog Rule 12b-25 of the Securities Exchange Act of 1934 (the “Exchange Act”) requires SEC reporting companies to provide notice on Form 12b-25 if it is unable to file its report on Form 10-Q within… Read More