Securities Attorney Archives - Page 3 of 15 - Hamilton & Associates Law Group, P.A.

What are SEC Periodic Reporting Requirements? Securities Lawyer 101

April 2, 2024

Companies become subject to the SEC’s periodic reporting requirements in several ways, including by filing a registration under the Securities Act of…

Form S-1 Registration Statements – What Companies Need To Know About Form S-1 & Going Public

March 27, 2024

SEC Obtains Final Judgment Against Kevin Dills – Joseph Padilla Sentenced in Criminal Case

March 24, 2024

Going Public & Exchange Act Registration For Foreign Issuers

March 23, 2024

OTC Markets 101 – The Basics of Listing – OTCQB

March 22, 2024

Form S-1 Registration Statement Attorneys – Going Public Lawyers

March 12, 2024

Ibrahim Almagarby Loses Unregistered Dealer Appeal

February 21, 2024

SEC Consent Judgments: Speak Now, or Forever Hold Your Peace

February 6, 2024

SPAC Settles SEC Fraud and Conflict of Interest Charges

February 1, 2024

SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme Xue Lee (aka Sam Lee) and Top Promoter Brenda Chunga (aka Bitcoin Beautee) with Fraud

January 30, 2024

Frederick L. Sharp, Luis Carrillo, Courtney M. Kelln, Mike K.G. Veldhuis, and Paul Sexton Indicted for Long-Running Pump-and-Dump Schemes

January 16, 2024

Aditya Raj Sharma Indicted for $10 million Investment Fraud

January 15, 2024

SEC Charges Jonathan Farber, Aarif Jamani, and Brian Keasberry with Securities Fraud

January 13, 2024

Siddharth Jawahar Indicted for Running a Multi-Million Dollar Ponzi Scheme

January 9, 2024

SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating a $93 Million Fraud

January 4, 2024

Short Selling: What It Is, and What It Isn’t

December 21, 2023

New SEC Exemption from Registration for M&A Brokers

December 8, 2023

Swiss Private Bank, Banque Pictet, Admits To Conspiring With U.S. Taxpayers To Hide Assets And Income In Offshore Accounts And Agrees to Pay More Than $122.9 Million

December 5, 2023

Why are Microcaps Trading on the NASDAQ and NYSE Exchanges?

November 29, 2023

LG Capital Funding Loses Motion to Dismiss

November 17, 2023

The Evolving SEC Actions Against Toxic Lenders

November 6, 2023

SEC Adopts new Rule 10c-1a to Increase Transparency in the Securities Lending Market

October 14, 2023

SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

October 11, 2023

Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets

October 9, 2023

All issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…

SEC Charges Stock Squirrel and John Feloni in $1.6 Million Securities Fraud

October 8, 2023

SEC Charges Philip Verges, James D. Tilton, Jr., Robert F. Malin and Linda Malin

September 27, 2023

SEC Charges Wilson J. Rondini, III and two companies Rondini controls for Operating as Unregistered Broker-Dealers

September 20, 2023

OTC Markets OTC Pink Common Disclosure Issues

September 14, 2023

SEC Enforcement Issues Wells Notices for Meta Materials Execs

August 8, 2023

SEC Charges Digital World Acquisition Corporation SPAC for Material Misrepresentations to Investors

July 21, 2023

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