Securities Law - Going Public Lawyers

Go Public Using Form S-1 – 2018

Go Public Using Form S-1 – 2018 Private companies going public commonly use a registration statement (“Registration Statement”) on Form S-1 under the Securities Act of 1933, as amended (the “Securities Act”). When a Form S-1 Registration Statement is… Read More

Form S-1 Financial Statement Requirements

Companies that register securities for direct public offering on Form S-1 as part of their going public transaction must provide audited financial statements to the Securities and Exchange Commission (“SEC”). These financial statements include a balance sheet, statement of shareholders’ equity, income statement and statement… Read More

Going Public and Raising Capital 101

A private or public company can raise capital in a variety of ways. Traditional sources of capital for companies include loans from financial institutions such as a bank, or from friends and family as well as receivable financing. Companies can… Read More

Form S-1 Registration Statement Filing Requirements

Private companies seeking to raise capital often file a Registration Statement on SEC Form S-1 or Offering Circular on Form 1-A pursuant to Regulation A+ in connection with their going public transaction.  Both options have unique benefits. For Example, All companies qualify to register… Read More

Going Public Question and Answer – Securities & Going Public Attorneys

Going public is a big step for any company. Companies can go public and become listed on National Securities Exchanges like NASDAQ or the New York Stock Exchange (“NYSE”) or they can have their shares quoted on the… Read More

Shane Fleming Charged with Insider Trading

On September 29, 2017, the Securities and Exchange Commission charged Shane Fleming, a middleman tipper, and six traders with insider trading ahead of the announcement that the company would be purchased and taken private. In a complaint filed… Read More

SEC Charges Michael Scronic with Engaging in Ponzi-like Scheme

On April 4, 2018, the Securities and Exchange Commission charged Michael Scronic with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-like scheme. The SEC alleges that, starting in approximately 2010,… Read More

SEC Charges Michael Liberty with Fraudulent Scheme to Defraud Investors and Misappropriate Funds

On April 4, 2018, the Securities and Exchange Commission charged Michael Liberty, the founder of the fintech startup now known as Mozido, Inc., with a fraudulent scheme to trick hundreds of investors into investing in his shell companies… Read More

SEC Charges Marc Tager and Jersey Consulting with Defrauding Investors in “Soil Remediation” Scam

The Securities and Exchange Commission announced charges against Marc Andrew Tager and Jersey Consulting LLC, a Utah-based company and several solicitors of the company’s securities in an ongoing offering fraud that has already targeted more than 80 individual… Read More

Americrude Charged by SEC – Posted by Brenda Hamilton, Securities Attorney

On March 8, 2018, the Securities and Exchange Commission charged Americrude, Inc. a Dallas-based oil-and-gas company and two of its executives with defrauding investors out of at least $950,000 through a string of fraudulent oil-and-gas securities offerings. The… Read More