Securities Act of 1933 - Securities & Forensic Lawyers

Thrift Savings Plan Used In Fraud Case

On July 31, 2017, the Securities and Exchange Commission (“SEC”) charged four former Atlanta-area brokers with fraudulently inducing federal employees to roll over holdings from their federal Thrift Savings Plan (TSP) retirement accounts into higher-fee, variable annuity products. The… Read More

John Giunti Charged with Securities Offering Fraud

On July 25, 2017, the Securities and Exchange Commission (“SEC”) charged Interactive Media Solutions, LLC and its sole principal John Giunti with perpetuating a securities offering fraud. According to the SEC’s complaint, IMS claimed to have developed a… Read More

Joey Dodson Charged with Fraud

On July 26, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Joey Dodson, the founder of a collection of businesses known as Citadel Energy, which provided fluid management solutions to the oil and gas industry in… Read More

Can I Sell Shares Under Section 4(1)? Going Public Lawyers

Rule 144 (“SEC Rule 144”) under the Securities Act of 1933 (“Securities Act”) provides a safe harbor from the registration statement provisions of the Securities Act for resale of restricted and  control securities by persons other than the issuer… Read More

What is Plain English? Going Public Lawyers

Regulation C contains the Plain English requirements for SEC filings. For investors to make informed decisions, disclosure documents must impart complex information. Using plain English assures the orderly and clear presentation of complex information so that investors have the… Read More