unregistered securities Archives

SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks

June 23, 2025

Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…

Lindsay Lohan, Jake Paul and six other celebrities charged by the SEC in crypto fraud

March 23, 2023

Class Action Lawsuit filed against Tom Brady, Stephen Curry and other Athletes and Celebrities that Promoted FTX

November 20, 2022

SEC Enforcement Casebook (2016–2020)

October 11, 2021

SEC: Crypto Founder Used ICO Funds for Dating and Rent

December 16, 2019

Two Class Action Lawsuits Filed Against CBD Brands

December 12, 2019

Resales of Restricted Stock l Securities Lawyer 101

June 5, 2018

Michael Andre Jones Charged for Fraudulent Offering and Sales of Unregistered Securities

August 30, 2016

Court Finds Leon Parvizian and His Two Companies Liable on All Counts for Oil and Gas Fraud

April 3, 2016

SEC Settles Charges For Registration Violations in Unregistered Securities

July 25, 2013

Ask Securities Lawyer 101 l Rule 144 Q & A

June 8, 2013

Informational Requirements of Rule 144 – Rule 144 Legal Opinion Requirements

May 1, 2013

What Is a Form 144 Notice Of Sales? Rule 144 Requirements

February 1, 2012

What Is The Section 4(1) Exemption? Securities Lawyer 101

January 1, 2012

Registration Statement, Unregistered Securities, Safe harbor, Rule 144 safe harbor, Rule 144 legend, Rule 144 legend removal, Affiliate, Form 144, Control, Control…