SEC Charges Eldrick Woodley with Embezzlement of Client Funds

Going Public LawyerThe Securities and Exchange Commission (SEC) on September 22, 1015, filed fraud charges against Eldrick Woodley, a Houston-based investment advisor, for the embezzlement of more than $147,000 in client capital. According to the SEC s complaint, filed in the U.S. District Court for the Southern District of Texas, Houston Division, Woodley, doing business as the advisory firm Woodley & Co. Wealth Strategies, undertook... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-eldrick-woodley-with-embezzlement-of-client-funds/

SEC Charges Hitachi, LTD. With Violation of FCPA

Going Public LawyerThe Securities and Exchange Commission (SEC) on September 28, 2015 charged Tokyo-based conglomerate Hitachi, Ltd. with violating the Foreign Corrupt Practices Act (FCPA) when it falsified documents regarding payments to South Africa s ruling political party connected with contracts to construct two multi-billion dollar power plants. Hitachi has agreed to pay $19 million to settle the SEC charges. The SEC alleges that... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-hitachi-ltd-with-violaion-of-fcpa/

SEC Charges Trinity Capital Corporation with Fraud

The Securities and Exchange Commission (SEC) announced on September 28, 2015 that Trinity Capital Corporation and its wholly-owned subsidiary, Los Alamos National Bank, have agreed to pay $1.5 million to settle accounting fraud charges. An SEC inv...
https://www.securitieslawyer101.com/?p=32145

SEC Files Charges Against Ralph Pirtle and Morando Berrettini for Insider Trading

Going Public LawyerThe Securities and Exchange Commission (SEC) announced on September 25, 2015 that on September 24, 2015, a jury in federal district court in Chicago, Illinois, returned a verdict finding Ralph J. Pirtle and Morando Berrettini responsible for insider trading in the stocks of three companies: Lifeline Systems, Inc., Invacare, Inc., and Intermagnetics Corporation. The SEC’s first amended complaint, which was... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-ralph-pirtle-with-insider-trading/

SEC Charges GenAudio and CEO With Fraudulent Stock Offerings

Going Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-genaudio-ceo-with-fraudulent-stock-offerings/

SEC Charges Six in Securities Fraud Scheme

Going Public LawyerOn September 24, 2015 the Securities and Exchange Commission (SEC) charged six men, including a father and three sons, with securities fraud associated with Gerova Financial Group Ltd., whose shares once traded on the New York Stock Exchange. In a parallel action, the U.S. Attorney’s Office for the Southern District of New York announced criminal charges against the six: Jason Galanis, his... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-six-in-securities-fraud-scheme/

SEC Files Charges Against Ralph Pirtle and Morando Berrettini for Insider Trading

The Securities and Exchange Commission (SEC) announced on September 25, 2015 that on September 24, 2015, a jury in federal district court in Chicago, Illinois, returned a verdict finding Ralph J. Pirtle and Morando Berrettini responsible for insider ...
https://www.securitieslawyer101.com/?p=32130

Promised Riches In $32 Million Amber Mining Pyramid Scheme, Halted By The SEC

Going Public LawyerOn October 1, 2015, the Securities and Exchange Commission (“SEC”) announced it had frozen the assets and filed charges for fraud, against the operator of a worldwide pyramid scheme falsely promising investors that they would profit from a venture allegedly backed by the company’s enormous amber holdings. The SEC’s complaint, filed in federal court in Los Angeles, stated that California resident... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/promised-riches-in-32-million-amber-mining-pyramid-scheme-halted-by-the-sec/

FINRA Expels Halcyon Cabot Partners

The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief Compliance Officer Ronald Heineman from the securities industry, fo...
https://www.securitieslawyer101.com/2015/finra-expels-halcyon-cabot-partners/

SEC Files Settled Aiding and Abetting Charges Against Joseph Apuzzo

Going Public LawyerOn September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the allegations in the SEC s complaint, to be permanently enjoined from violation of Sections 10(b) and 13(b)(5) of the Securities and Exchange Act of... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-files-settled-aiding-and-abetting-charges-against-joseph-apuzzo/

Anthony Knight Barred, Enjoined, and Fined for Unregistered Securities

Going Public LawyerOn Thursday, September 3, 2015, United States District Court Judge Denis R. Hurley of the United States District Court for the Eastern District of New York issued an order and judgment imposing relief against Defendant Anthony Knight, the former Chairman of failed Long Island-based internet startup, iShopNoMarkup.com, Inc. Judge Hurley ordered Knight to pay $2.3 million in disgorgement, over $2.5... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/anthony-knight-barred-enjoined-fined-for-unregistered-securities/

SEC Files Settled Aiding and Abetting Charges Against Joseph Apuzzo

On September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the al...
https://www.securitieslawyer101.com/?p=32108

SEC Files Settled Aiding and Abetting Charges Against Joseph Apuzzo

On September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the al...
https://www.securitieslawyer101.com/?p=32108

Former Officers of SMF Energy Corp. Charged by the SEC with Fraud

Going Public LawyerThe Securities and Exchange Commission (SEC) on September 25, 2015, announced financial fraud charges against four former SMF Energy Corp. officers, claiming that former CEO Richard E. Gathright, former chief financial officer Michael S. Shore, former chief accounting officer Laura P. Messenbaugh, and former senior vice president of sales and investor relations officer Robert W. Beard vastly inflated SMF s revenues... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/former-officers-of-smf-energy-corp-charged-by-the-sec-with-fraud/

Former Officers of SMF Energy Corp. Charged by the SEC with Fraud

The Securities and Exchange Commission (SEC) on September 25, 2015, announced financial fraud charges against four former SMF Energy Corp. officers, claiming that former CEO Richard E. Gathright, former chief financial officer Michael S. Shore, forme...
https://www.securitieslawyer101.com/?p=32102

SEC Charges Six in Securities Fraud Scheme

On September 24, 2015 the Securities and Exchange Commission (SEC) charged six men, including a father and three sons, with securities fraud associated with Gerova Financial Group Ltd., whose shares once traded on the New York Stock Exchange. In...
https://www.securitieslawyer101.com/?p=32019

Consultant Charged With Insider Trading

Going Public LawyerOn September 23, 2015, the Securities and Exchange Commission (SEC) charged a consultant and his friend with insider trading in the options of P.F. Chang s China Bistro based on nonpublic information about an impending acquisition offer. The SEC claims that Richard G. Condon, a consultant to Panda Restaurant Group, tipped Jonathan Ross with confidential details about the bidding process for... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/consultant-charged-with-insider-trading/

Former Fannie Mae Executives Resolve Subprime and Reduced Documentation Disclosure Case with SEC

Going Public LawyerThe Securities and Exchange Commission (SEC) announced on September 22, 2015 that the Honorable Paul A. Crotty of the United States District Court for the Southern District of New York has entered an Order approving a stipulation and agreement between the SEC and defendants Enrico Dallavecchia, the former Chief Risk Officer of Fannie Mae, and Thomas Lund, Fannie Mae s former... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/former-fannie-mae-executives-resolve-subprime-and-reduced-documentation-disclosure-case-with-sec/

SEC Announces New Resource – Going Public Attorneys

Going Public LawyerPosted By the Going Public Attorneys On September 24, 2015, the Securities & Exchange Commission (SEC) announced a new resource on its website that is designed to enhance transparency by providing information about the SEC proposals and rulemaking in a single location. The SEC’s new online resource will streamline information making it easier for investors and market participants to follow specific... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-announces-resource-going-public-attorneys/

SEC v. Two Men Who Defrauded Investors

Going Public LawyerOn September 21, 2015 the Securities and Exchange Commission (SEC) charged two men behind a scheme that defrauded investors in YaFarm Technologies Inc., a company that purported to provide stem cell therapy. The SEC s complaint filed in federal court in Boston charged Frank Morelli III, of Florence, Colorado, and Louis Buonocore, of Woburn, Massachusetts, for their roles in the alleged... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-v-two-men-who-defrauded-investors/

SEC Charges Penny Stock Company and CEO with Fraud and Disclosing Inaccurate Press Releases

Going Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-penny-stock-company-and-ceo-with-fraud-and-disclosing-inaccurate-press-releases/

SEC Obtains Final Judgement Against Julio Cruz for Targeting Latino Communities with Pyramid Scheme

Going Public LawyerOn September 17, 2015, the Securities and Exchange Commission (SEC) announced that on September 16, 2015, the federal court in Boston, Massachusetts, entered a final judgment against defendant Julio Cruz of Duluth, Georgia, a defendant in a previously-filed enforcement action. In February 2015, the (SEC) charged two Portuguese companies operating under the name Wings Network, plus three company officers and... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-obtains-final-judgement-against-julio-cruz-for-pyramid-scheme/

SEC Obtains Final Judgement Against Julio Cruz for Targeting Latino Communities with Pyramid Scheme

On September 17, 2015, the Securities and Exchange Commission (SEC) announced that on September 16, 2015, the federal court in Boston, Massachusetts, entered a final judgment against defendant Julio Cruz of Duluth, Georgia, a defendant in a previ...
https://www.securitieslawyer101.com/?p=32039

James Meagher Enjoined in Penny Stock Case

Going Public LawyerThe Securities and Exchange Commission (SEC) announced on September 16, 2015 that Chief Judge Gregory M. Sleet of the United States District Court for the District of Delaware entered a final default judgment against Defendant James Meagher on September 14, 2015 in SEC v. Dynkowski, et al., Civil Action No. 1:09-361, a penny stock manipulation case the SEC filed on... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/james-meagher-enjoined-in-penny-stock-case/

SEC Charges Robert Milligan With Securities Fraud

The Securities and Exchange Commission (SEC) announced on September 18, 2015 charges against Robert DeWayne Milligan, who was president of a California-based business known as America’s Natural Energy (“ANE”), for engaging in the fraudulent o...
https://www.securitieslawyer101.com/2015/sec-charges-robert-milligan-securities-fraud/

SEC Charges President of America's Natural Energy with Oil and Gas Investment Fraud

The Securities and Exchange Commission (SEC) announced on September 18, 2015 charges against Robert DeWayne Milligan, who was president of a California-based business known as America’s Natural Energy (“ANE”), for securities fraud in an unreg...
https://www.securitieslawyer101.com/2015/sec-charges-president-of-americas-natural-energy-with-oil-and-gas-investment-fraud/

Eric J. McPhail Sentenced in Insider Trading Action

The Securities and Exchange Commission (SEC) announced that, on September 18, 2015, Eric J. McPhail was sentenced to 18 months in prison and two years of supervised release for his role in an insider trading ring that traded on inside information...
https://www.securitieslawyer101.com/2015/eric-j-mcphail-sentenced-insider-trading/

SEC Order Imposes Fine On Ditto Holdings For $3.7 Million Unlawful Offering

On September 8, 2015, the Securities and Exchange Commission ("SEC") initiated public cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 ("Securities Act") against Ditto Holdings, Inc. (“Ditto Holdings"). In antic...
https://www.securitieslawyer101.com/2015/sec-order-imposes-fine-on-ditto-holdings-for-3-7-million-unlawful-offering/

SEC Order Imposes Fine On Ditto Holdings For $3.7 Million Unlawful Offering

Going Public LawyerOn September 8, 2015, the Securities and Exchange Commission ( SEC ) initiated public cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 ( Securities Act ) against Ditto Holdings, Inc. (“Ditto Holdings ). In anticipation of the institution of these proceedings, Ditto Holdings submitted an Offer of Settlement (the Offer ) which the SEC accepted. Ditto Holdings owns 100% of Ditto Trade,... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-order-imposes-fine-on-ditto-holdings-for-3-7-million-unlawful-offering/

SEC Charges Florida Based CPA For Bogus Audit Opinions

Going Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-florida-based-cpa-for-issuing-bogus-audit-opinions/

SEC Charges Florida Based CPA For Issuing Bogus Audit Opinions

Going Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-florida-based-cpa-for-issuing-bogus-audit-opinions/

SEC Charges Florida Based CPA For Issuing Bogus Audit Opinions

On September 17, 2015 the SEC imposed sanctions against a Florida based CPA for producing deficient and fraudulent audits and quarterly reviews for eight publicly traded companies, issuing false and misleading audit opinions on the companies’ a...
https://www.securitieslawyer101.com/?p=32002

U3 Halt of SWK Holdings Explained by FINRA, and Lifted Quickly

Going Public LawyerWe recently wrote about a bungled dividend distribution made by Calissio Resources Group, Inc. (CRGP) that resulted in the imposition of a U3 “extraordinary event” trading halt by the Financial Industry Regulatory Authority (“FINRA”).  The halt was lifted two weeks later.  FINRA offered no explanation for the action.  U3 halts are rare for domestic issuers, and usually have to do... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/u3-halt-swk-holdings/

U3 Halt of SWK Holdings Explained by FINRA, and Lifted Quickly

While that may have seemed opaque to some, a quick look at recent SEC filings made by SWKH clarified what the regulator meant.  More than two hours before the bell, the company posted a Form 8-K to Edgar, in which it explained that “the previous...
https://www.securitieslawyer101.com/?p=31991

What is FINRA Rule 6490? Going Public Lawyers

Though FINRA’s principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the over-the-counter markets.  Part of that oversight involves processing corporate action requests from issuers of equity an...
https://www.securitieslawyer101.com/2015/finra-rule-6490-lawyers/

FINRA’s Disclosure Requirements In EB-5 Offerings

Going Public LawyerFINRA Rule 2040 became effective late last month and has the potential to provide increased transparency in EB-5 Offerings. Rule 2040 requires broker-dealers who sell securities in EB-5 offerings to disclose finder’s fees paid to non-registered foreign persons and receive written acknowledgement from the investors that such fees were disclosed to them. FINRA Rule 2040 also limits the circumstances under which a foreign... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/finras-disclosures-eb-5-offerings/

FINRA's Disclosure Requirements In EB-5 Offerings

FINRA Rule 2040 became effective late last month and has the potential to provide increased transparency in EB-5 Offerings. Rule 2040 requires broker-dealers who sell securities in EB-5 offerings to disclose finder’s fees paid to non-registered...
https://www.securitieslawyer101.com/2015/finras-disclosures-eb-5-offerings/

Investor Alert – Messaging Apps & Pump and Dump Scams

Going Public LawyerOn September 2, 2015, the Financial Industry Regulatory Authority (FINRA) issued an investor alert warning about investor relations activity and stock promotions sent through popular messaging applications (Apps) such as WhatsApp. These messaging Apps allow users to almost instantly exchange messages which makes them appealing tools for scammers engaged in pump and dump schemes seeking to trick investors. According to... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/investor-alert-messaging-apps-pump-and-dump-scams/

Investor Alert - Messaging Apps & Pump and Dump Scams

On September 2, 2015, the Financial Industry Regulatory Authority (FINRA) issued an investor alert warning about investor relations activity and stock promotions sent through popular messaging applications (Apps) such as WhatsApp. These messaging...
https://www.securitieslawyer101.com/?p=31877

Bungled Calisso Resources Dividend Sparks FINRA Halt and Clearing Firm Lawsuit

For penny stock enthusiasts looking for a little late-summer entertainment, the issues surrounding an extremely large special dividend distributed by Calissio Resources Group, Inc. (CRGP) have proved to be of unusual interest.  On June 16, 2015, t...
https://www.securitieslawyer101.com/2015/dividend-calissio-resources-finra-halt/

MusclePharm Charged In SEC Investigation

Going Public LawyerOn September 8, 2015, the Securities and Exchange Commission (SEC) charged a sports supplements and nutrition company with committing a series of accounting and disclosure violations, including the failure to properly report perks provided to its executives as compensation. MusclePharm Corporation agreed to settle the charges along with three current or former executives and the company’s former audit committee chair... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/musclepharm-charged-in-sec-investigation/

MusclePharm Charged In SEC Investigation

On September 8, 2015, the Securities and Exchange Commission (SEC) charged a sports supplements and nutrition company with committing a series of accounting and disclosure violations, including the failure to properly report perks provided to its...
https://www.securitieslawyer101.com/?p=31874

Regulation A+ DPO Attorneys

Most  private companies are unable to locate an underwriter prior to going public. Regulation A+ provides a new option for issuers seeking to raise capital without an underwriter. A direct public offering (“Direct Public Offering”) provides ...
https://www.securitieslawyer101.com/2015/regulation-a-dpo-attorneys/

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 nom...
https://www.securitieslawyer101.com/2015/securities-lawyer101-brenda-hamilton-blog/

SEC Order Imposes Fine On Ditto Holdings For $3.7 Million Unlawful Offering

On September 8, 2015, the Securities and Exchange Commission ("SEC") initiated public cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 ("Securities Act") against Ditto Holdings, Inc. (“Ditto Holdings"). In antic...
https://www.securitieslawyer101.com/?p=31871

SEC Charges Bankrate and Former Executives with Securities Fraud

Going Public LawyerOn September 8, 2015, the Securities and Exchange Commission ( SEC ) announced that Bankrate Inc. has agreed to pay $15 million to settle accounting and securities fraud charges. Three former executives also are charged in the case that involves fraudulent manipulation of the company s financial results to meet analyst expectations. The Commission alleges that Bankrate s then-CFO Edward DiMaria, then-director of accounting... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-bankrate-and-former-executives-with-securities-fraud/

SEC Charges Ross Shapiro, Michael Gramis, and Tyler Peters With Fraud

On September 9, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential mortgage-backe...
https://www.securitieslawyer101.com/?p=31859

SEC Charges Bankrate and Former Executives with Securities Fraud

On September 8, 2015, the Securities and Exchange Commission ("SEC") announced that Bankrate Inc. has agreed to pay $15 million to settle accounting and securities fraud charges. Three former executives also are charged in the case that involves ...
https://www.securitieslawyer101.com/?p=31863

SEC Charges Bankrate and Former Executives with Securities Fraud

On September 8, 2015, the Securities and Exchange Commission ("SEC") announced that Bankrate Inc. has agreed to pay $15 million to settle accounting and securities fraud charges. Three former executives also are charged in the case that involves ...
https://www.securitieslawyer101.com/?p=31863

SEC Brings Charges In Reverse Merger Scam – Going Public Attorneys

Going Public LawyerOn September 10, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against a Wall Street CEO and his company, family members, and business associates accused of secretly obtaining control and manipulating the stock of Chinese companies they were purportedly guiding through the going public process and raising capital. The SEC s complaint described four issuers. SmartHeat, Inc. ( SmartHeat ), a China-based manufacturer... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-brings-charges-in-reverse-merger-scam-going-public-attorneys/

SEC Brings Charges In Reverse Merger Scam - Going Public Attorneys

On September 10, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against a Wall Street CEO and his company, family members, and business associates accused of secretly obtaining control and manipulating the stock of Chi...
https://www.securitieslawyer101.com/2015/sec-brings-charges-in-reverse-merger-scam-going-public-attorneys/

SEC Charges Ross Shapiro, Michael Gramis, and Tyler Peters With Fraud

Going Public LawyerOn September 9, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential mortgage-backed securities (RMBS). The SEC alleges that Ross Shapiro, Michael Gramins, and Tyler Peters defrauded customers to illicitly generate millions of dollars in additional revenue for Nomura... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-ross-shapiro-michael-gramis-and-tyler-peters-with-fraud/

SEC Charges Manny Shulman and David Hirschman

Going Public LawyerOn September 3, 2015, the Securities and Exchange Commission ( SEC ) charged Manny J. Shulman and David Hirschman for their involvement in the fraudulent, unregistered sale of securities of Caribbean Pacific Marketing, Inc. ( Caribbean Pacific ), a now-defunct Florida corporation that purported to be a sun-care and skin-care products start-up company. The Commission also charged Shulman for making misstatements and omissions in... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-manny-shulman-and-david-hirschman-2/

SEC Charges Manny Shulman and David Hirschman

On September 3, 2015, the Securities and Exchange Commission ("SEC") charged Manny J. Shulman and David Hirschman for their involvement in the fraudulent, unregistered sale of securities of Caribbean Pacific Marketing, Inc. ("Caribbean Pacific"),...
https://www.securitieslawyer101.com/?p=31849

SEC Charges Manny Shulman and David Hirschman

On September 3, 2015, the Securities and Exchange Commission ("SEC") charged Manny J. Shulman and David Hirschman for their involvement in the fraudulent, unregistered sale of securities of Caribbean Pacific Marketing, Inc. ("Caribbean Pacific"),...
https://www.securitieslawyer101.com/?p=31849

Investor Relations & General Solicitation After the JOBS Act

Securities Lawyer 101 Blog Investor relations also known as stock promotion involves the publication of information about a public company to increase its stock price and trading volume. The person who publishes this information  is sometimes ref...
https://www.securitieslawyer101.com/2014/investor-relations/

When Private Placements Go Public – Going Public Attorneys

Going Public LawyerRule 506 of Regulation D of the Securities Act of 1933 (the “Securities Act”) provides for a private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to going public. While the term “private offering” leaves much to the imagination, the Securities Act provides substantial guidance about the circumstances in which an offering... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/raising-money-in-private-placements-under-rule-506b-rule-506c/

When Private Placements Go Public - Going Public Attorneys

Rule 506 of Regulation D of the Securities Act of 1933 (the “Securities Act”) provides for a private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to goi...
https://www.securitieslawyer101.com/2015/raising-money-in-private-placements-under-rule-506b-rule-506c/

Raising Money In Private Placements Under Rule 506(b) & Rule 506(c)

The Securities Act of 1933 (the “Securities Act”) provides for a private offering or private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to going publi...
https://www.securitieslawyer101.com/?p=31828

SEC Halts Harrison Schumacher In California-Based Oil and Gas Investment Fraud

Going Public LawyerOn August 27th, 2015, the Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze to halt a California-based scheme involving purported investments in oil and gas projects. According to the SEC’s complaint filed under seal last week in federal court in Los Angeles and unsealed on August 26th, Harrison Schumacher and his two companies Quantum Energy... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-halts-harrison-schumacher-in-california-based-oil-and-gas-investment-fraud/

Regulation A+ Lawyers & Going Public Attorneys

Regulation A+ is designed to facilitate smaller companies’ access to capital by providing an alternative to direct public offerings/DPO's and initial public offerings/IPO's.  Regulation A+’s new rules provide investors with more investment ch...
https://www.securitieslawyer101.com/2015/regulation-a-lawyers-going-public/

SEC Halts Harrison Schumacher In California-Based Oil and Gas Investment Fraud

On August 27th, 2015, the Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze to halt a California-based scheme involving purported investments in oil and gas projects. According to the SEC’s compla...
https://www.securitieslawyer101.com/?p=31825

SEC Halts Harrison Schumacher In California-Based Oil and Gas Investment Fraud

On August 27th, 2015, the Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze to halt a California-based scheme involving purported investments in oil and gas projects. According to the SEC’s compla...
https://www.securitieslawyer101.com/?p=31825

SEC Charges Bank Analyst Ashish Aggarwal With Insider Trading

Going Public LawyerOn August 25th, 2015, the Securities and Exchange Commission (SEC) charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions of technology companies. The SEC also charged his friend and another individual with insider trading. The SEC alleges that Ashish Aggarwal, who worked in J.P. Morgan s San... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-bank-analyst-ashish-aggarwal-with-insider-trading/

SEC Charges Bank Analyst Ashish Aggarwal With Insider Trading

On August 25th, 2015, the Securities and Exchange Commission (SEC) charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions of tech...
https://www.securitieslawyer101.com/?p=31819

SEC Obtains Summary Judgment Against Xytos In Securities Fraud

Going Public Lawyer
https://www.securitieslawyer101.com/2015/sec-obtains-summary-judgment-against-xytos-in-securities-fraud/

SEC Obtains Summary Judgment Against Xytos in Securities Fraud

  The Securities and Exchange Commission (SEC) announced that on August 24th, 2015, the Honorable Sarah Evans Barker of the United States District Court for the Southern District of Indiana granted the SEC's motion for summary judgment agains...
https://www.securitieslawyer101.com/?p=31816

SEC Announces Asset Freeze In EB-5 Offering Scheme

Going Public LawyerOn August 25, 2015, the Securities and Exchange Commission (SEC) announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding Chinese investors seeking U.S. residency through the EB-5 Immigrant Investor Pilot Program by investing in his companies. The SEC alleges that Lobsang Dargey and his “Path America” companies have raised at least $125 million in EB-5... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/asset-freeze-eb-5-offering/

SEC Announces Asset Freeze In EB-5 Offering Scheme

On August 25, 2015, the Securities and Exchange Commission (SEC) announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding Chinese investors seeking U.S. residency through the EB-5 Immigrant Investor Pilot Program b...
https://www.securitieslawyer101.com/2015/asset-freeze-eb-5-offering/

What is a Penny Stock Email Campaign ?

Going Public LawyerIn our digital age, sensible people know they should be wary of unsolicited financial advice, but there are still many who can t resist the allure of the “guaranteed profits” that will be generated by a “once in a lifetime opportunity” received in a penny stock email campaign.  There are different kinds of scams involving penny stock email.  Some may present what appears... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/penny-stock-email-campaign/

What is a Penny Stock Email Campaign ?

In our digital age, sensible people know they should be wary of unsolicited financial advice, but there are still many who can't resist the allure of the “guaranteed profits” that will be generated by a “once in a lifetime opportunity” rece...
https://www.securitieslawyer101.com/?p=23521

SEC Charges Vincente Garcia Under FCPA

Going Public LawyerOn August 12, the Securities and Exchange Commission (SEC) announced that a former executive at a worldwide software manufacturer has agreed to settle charges that he violated the Foreign Corrupt Practices Act (FCPA) by bribing Panamanian government officials through an intermediary to procure software license sales. An SEC investigation found that Vicente E. Garcia, the former vice president of global... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/fcpa-attorneys/

SEC Charges Vincente Garcia Under FCPA

On August 12, the Securities and Exchange Commission (SEC) announced that a former executive at a worldwide software manufacturer has agreed to settle charges that he violated the Foreign Corrupt Practices Act (FCPA) by bribing Panamanian governmen...
https://www.securitieslawyer101.com/?p=31798

SEC Charges Microcap Stock Promoters

Going Public LawyerLast month, the Securities & Exchange Commission (SEC) charged a trio of alleged microcap stock promoters with defrauding investors by disseminating promotional investor relations e-mails and newsletters exhorting readers to immediately buy purportedly hot stocks so they could secretly sell their own holdings at a substantial profit. The SEC alleges that the three men, who live in Israel, obtained shares... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/microcap-stock-promoters/