Securities Lawyer Blog - Securities & Going Public Lawyers

Securities Lawyer 101 Blog Wins Third Place In Best Legal Blog Contest

Our readers have spoken.  Securities Lawyer 101 written by Brenda Hamilton, a securities and going public attorney has won third place in overall winners in The Expert Institute’s Best Legal Blog Competition. From a field of more than 2,000 legal… Read More

Securities Lawyer 101 Blog By Brenda Hamilton Nominated

Our readers have spoken – Securities Lawyer 101 written by Brenda Hamilton, a securities and going public lawyer has been selected to compete in The Expert Institute’s Best Legal Blog Competition. From a field of more than 2,000 potential nominees,… Read More

SEC Inquiries and Investigations

The SEC’s Enforcement Division conducts investigations pursuant to formal Orders of Investigation that authorize the staff of the Enforcement Division to seek the production of relevant information, either in the form of documents or witness testimony.  Although the SEC… Read More

Medbox, Inc. Announces SEC Investigation

Securities Lawyer 101 Blog On November 12, 2014, Medbox, Inc. (MDBX) put an end to nearly two weeks of speculation by acknowledging in its 10-Q for the period ended September 30 that the company has received a formal… Read More

The Going Public Attorney & Due Diligence – Going Public Attorneys

A company’s going public lawyer must conduct proper due diligence in order to draft required disclosures during the going public process.  These expansive disclosure requirements apply to private companies going public.  During the going public process, companies must generally provide expansive… Read More

Shell Shocked – FBI Uses Receivership Shell In Sting

On July 16, 2014, the Securities and Exchange Commission (“SEC”), the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation have announced charges against five individuals, who the authorities allege  attempted to manipulate shares of… Read More

FINRA Fines Goldman Sachs Execution & Clearing $800,000

Securities Lawyer 101 Blog On July 1, 2014, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written policies and procedures in place… Read More

Regulation A l The Colossal Exemption l Securities Lawyer 101

On December 18, 2013, the Securities and Exchange Commission (“SEC”) voted to propose rules impacting Regulation A . The rules are mandated by the 2012 Jumpstart Our Business Startups Act and designed to encourage investment in smaller companies. Regulation A has rarely… Read More

Securities Lawyers Gone Wild l Three-Time Felon & Lawyer Indicted

Securities Lawyer 101 Blog On April 6, 2014, Texas attorney Richard Plato was  indicted  for mail fraud and securities fraud. Plato is a disbarred attorney who has been convicted in three separate criminal cases, including money laundering and… Read More

SEC Shuts Down Pyramid Scheme Using Phony Companies l Securities Lawyer 101

Securities Lawyer 101 Blog On March 5, 2014, the Securities and Exchange Commission (“SEC”) announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies masquerading as a legitimate international investment firm.  The SEC has… Read More