Regulation D and PPM Lawyers - Going Public

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling ei...
https://www.securitieslawyer101.com/?p=31789

Signator Investors Settles SEC Charges

On August 13, 2015, the Securities & Exchange Commission (SEC) announced that three Maryland men have agreed to settle charges that they defrauded investors in a company that owns and operates residential and commercial real estate.  Boston-...
https://www.securitieslawyer101.com/2015/signator-investors/

What Are Fiduciary Duties? Going Public Attorneys

Going Public LawyerA fiduciary duty exists in where trust and confidence is placed in another. Fiduciary duties arise in many different contexts in securities matters and the going public process. Fiduciary duties also arise from a written agreement that authorizes another to act as the grantor’s agent. The existence and scope of a fiduciary duty is based on the nature of the... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/fiduciary-duty-going-public/

What Are Fiduciary Duties? Going Public Attorneys

A fiduciary duty exists in where trust and confidence is placed in another. Fiduciary duties arise in many different contexts in securities matters and the going public process. Fiduciary duties also arise from a written agreement that authorizes a...
https://www.securitieslawyer101.com/?p=31778

Aegis Capital Corporation fined $950,000 By FINRA

Going Public LawyerAegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stocks of five issuers and anti-money laundering supervisory failures. As a result, Aegis is also required to retain an independent consultant to review its supervisory and AML systems and procedures. In addition, Charles D. Smulevitz and Kevin C. McKenna,... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/aegis-capital-corporation-fined-950000-by-finra/

Aegis Capital Corporation fined $950,000 By FINRA

Aegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stocks of five issuers and anti-money laundering supervisory failures. As a result, Aegis is...
https://www.securitieslawyer101.com/?p=31775

Disclosure Obligations in Regulation A+ Offerings

The Anti-Fraud Provisions And  Regulation A+  On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new rules are often referred to as Regulation A+. These rules are designed to facilitate sm...
https://www.securitieslawyer101.com/2015/disclosure-in-regulation-a-offerings/