Securities Law Blog - 50/61 - Securities & Going Public Lawyers

SEC Revokes Registration of Sunrise Solar

Securities Lawyers Gone Wild Series Securities Law 101 Blog Sunrise Solar’s most recent financial report filed was a 10-Q for the period ended March 31, 2009. According to the SEC action, Sunrise Solar purported to be in the… Read More

China MediaExpress Issuer Charged with Securities Fraud

Securities Lawyer 101 Blog On June 20, 2013, the Securities and Exchange Commission (the “SEC”) brought yet another securities fraud enforcement action against a China-based company that went public on the U.S. markets through a reverse merger.  The… Read More

SEC Brings Charges in California Alzheimer’s Scam

Company President Lies to Investors Most people think of the Securities and Exchange Commission (“SEC”) as a regulator of publicly traded companies.  But the SEC’s authority extends to any company or individual—public or private—that offers or sells securities.  If the

Securities Lawyers Gone Wild – Michael Stewart

Securities Law 101 Blog On June 21, 2013, the Securities and Exchange Commission (“SEC”), suspended Michael Stewart, a California securities attorney, from practicing before the SEC.  The sanction stemmed from an SEC enforcement action brought by the agency… Read More

San Diego Penny Stock Promoter Charged with Securities Fraud

Securities Lawyer 101 Blog In the latest twist to the Bermuda Short Sting of 2003, on June 19, 2013, the Securities and Exchange Commission (“SEC”) Division of Enforcement charged David F. Bahr of Rancho Santa Fe, California, with… Read More

SEC Revokes Registration of 8 Issuers to Prevent Corporate Hijackings

Securities Lawyer 101 Blog On June 17, 2013, the Securities and Exchange Commission (“SEC”) revoked the registrations of the securities of Avani International Group, Inc. (AVIT), Birch Mountain Resources Ltd. (BHMNF), Capital Reserve Canada Ltd. (CRSVF), Dynasty Gaming Inc…. Read More

SEC Says Social Media OK – Going Public Attorneys

The use of social media is a growing concern with new exemptions that allow issuers to engage in general solicitation and advertising of their unregistered offerings. The Securities and Exchange Commission has made its position on the use of social… Read More

How Do Reverse Splits Affect My Shares? Going Public

Reverse stock splits are often used by public companies to reduce the amount of securities outstanding.  Reverse splits are also used by private companies in corporate restructurings.  Typically in a reverse split, a company reduces the number of… Read More

OTCQX Eliminates Penny Stocks l Securities Lawyer 101

Securities Lawyer 101 Blog The OTCMarkets describes its OTCQX marketplace as the premier tier of the U.S. Over-the-Counter (OTC) markets, providing investors with an objective measure to ide3ntify exceptional OTC-traded companies.  The OTCQX U.S. is designated by the OTCMarkets… Read More

OTC Pink Sheets l Going Public Attorney

Securities Lawyer 101 Blog Private companies seeking to go public are opting to list on the OTC Markets OTC Pink Current tier.  Companies seeking to public company status can list on the OTC Pink Current tier without filing… Read More