Securities Lawyer Brenda Hamilton - Going Public Lawyers
The Securities and Exchange Commission announced charges against five public companies for failing to provide financial statements that were reviewed by their independent external auditor when they filed quarterly reports with the Commission on Form 10-Q. Regulation S-X… Read More
Category: Blog Posts Tags: 10-Q, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Cardiff Lexington Corporation, Cool Technologies Inc., Dasan Zhone Solutions Inc., First Hartford Corporation, Form 10-Q, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Infrax Systems Inc., Regulation S-X, S-X, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
The Securities and Exchange Commission announced that it has awarded nearly $4 million to an overseas whistleblower whose tip led it to open an investigation and whose extensive assistance helped it bring a successful enforcement action. “Whistleblowers, whether… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, SEC, SEC’s Office, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission, Whistleblower
The Securities and Exchange Commission announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have agreed to settle charges related to securities issued under the EB-5 Immigrant Investor Program, which provides foreigners who invest… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, CM, CMB Export LLC, EB-5, EB-5 Immigrant Investor Program, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Illinois-based, Immigrant Investor Program, Patrick Hogan, SEC, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting fraud involving BBSI’s workers’ compensation expenses. The SEC also charged BBSI in the accounting fraud and… Read More
Category: Blog Posts Tags: antifraud, Barrett Business Services Inc., BBSI, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, CFO, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, James D. Miller, Michael Elich, SEC, SEC Complaint, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission announced it has obtained monetary relief that will fully reimburse retail investors for losses on a leveraged oil-linked exchange-traded note (ETN) that registered representatives of Syracuse, New York-based broker-dealer and investment adviser Cadaret,… Read More
Category: Blog Posts Tags: Beda Lee Johnson, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Cadaret, Cadaret Grant, Disgorgement, ETN, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Grant & Co. Inc., oil-linked, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The SEC, The Securities and Exchange Commission
The Securities and Exchange Commission charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting fraud involving BBSI’s workers’ compensation expenses. The SEC also charged BBSI in the accounting fraud and… Read More
Category: Blog Posts Tags: Barrett Business Services Inc., BBSI, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, compensation expenses, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, James D. Miller, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
The Securities and Exchange Commission announced that a Boulder, Colorado-based biopharmaceutical company, its CEO, and its former CFO will pay more than $20 million in penalties to settle charges of misleading investors about the company’s developmental lung cancer… Read More
Category: Blog Posts Tags: Biopharma, biopharmaceutical, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, cancer drug, Clovis Oncology Inc, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, lung cancer, lung cancer drug, Patrick Mahaffy, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
The Securities and Exchange Commission today announced that SeaWorld Entertainment Inc. and its former CEO have agreed to pay more than $5 million to settle fraud charges for misleading investors about the impact the documentary film Blackfish had on the… Read More
Category: Blog Posts Tags: Blackfish, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, CEO James Atchison, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, James Atchison, SeaWorld, SeaWorld Entertainment, SeaWorld Entertainment Inc., SEC's Complaint, SEC’s complaints, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates. The SEC’s order found that Citigroup misled users with assurances that high-frequency… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Citi Match, Citi Order Routing and Execution, Citigroup, Citigroup Global, Citigroup Global Markets Inc., CORE, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Market Abuse Unit, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges that the broker-dealer firm provided the SEC with incomplete and deficient securities trading… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Convergex, Convergex Execution, Convergex Execution Solutions, Convergex Execution Solutions LLC, Cowen, Cowen Execution, Cowen Execution Services, Cowen Execution Services LLC, FINRA, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
