Secondary Offering - Securities & Forensic Lawyers

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

FINRA Sanctions Short Seller – Securities & Going Public Attorneys

Short sale conspiracy theorists will be pleased to learn that on March 25, 2015, The Financial Industry Regulatory Authority (FINRA) announced sanctions of $916,000 against Short Seller, First New York Securities L.L.C. for short selling ahead 14 public… 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 is a Secondary Offering? Going Public Lawyers

Securities Lawyer 101 Blog Going public transactions can be structured a variety of ways.  Many going public transactions involve the filing of a registration statement with the Securities and Exchange Commission (“SEC”) registering shares held by existing stockholders… Read More