Section 10 (b) - Going Public Lawyers

Due Diligence in Accredited Crowdfunding Offerings

The Anti-Fraud Provisions That Apply to Accredited Crowdfunding Even though Accredited Crowdfunding Offerings are exempt under Rule 506(c) and no specific disclosure requirements apply, under most circumstances, the anti-fraud provisions mandate disclosure of certain information to investors.  Section… Read More

SEC Charges Julian Brown and Bahamian Brokerage Firm, Alliance Investment Management

Securities Law Blog On August, 8, 2014, the Securities and Exchange Commission (“SEC”) announced charges against Julian Brown and his firm Alliance Investment Management Limited (AIM).  According to the SEC allegations, Julian Brown purported to be the “custodian”… Read More