Grow Public 101

Monday, June 30, 2014

Officer and Director Disclosures of Legal Proceedings

Securities Lawyer 101 Blog The securities laws require that public companies provide disclosure about the backgrounds of its officers and directors and describe certain material information that is “material to an evaluation of the ability or in...
http://www.securitieslawyer101.com/officer-director-disclosures/

Securities Lawyers Gone Wild – Marcus Luna

Going Public Lawyer On June 27, 2014, the U.S. District Court of Nevada issued an order imposing sanctions against a securities attorney, Marcus Luna, three other individuals Nathan Montgomery, Adam Daskivich, and David Murtha and their businesses for their roles in a multi-million dollar scheme. According to the SEC, the defendant sold shares of Axis Technologies Group, Inc. stock in a... Read More Going Public Lawyer
http://www.securitieslawyer101.com/securities-lawyer-luna/

SEC Seeks to Reduce Gobbly Gook Disclosures By: Securities Lawyer 101

Securities Lawyer 101 Blog This month, the Securities and Exchange Commission (the “SEC”) provided guidance related to the enhanced mutual fund disclosure amendments it adopted in 2009. The SEC’s guidance is based on comments the staff of ...
http://www.securitieslawyer101.com/securities-lawyer-disclosure/

SEC Seeks to Reduce Gobbly Gook Disclosures

Securities Lawyers Gone Wild - Marcus Luna

On June 27, 2014, the U.S. District Court of Nevada issued an order imposing sanctions against a securities attorney, Marcus Luna, three other individuals - Nathan Montgomery, Adam Daskivich, and David Murtha - and their businesses for their roles in...
http://www.securitieslawyer101.com/securities-lawyer-luna/

Selling Stockholder Disclosures in Form S-1

Securities Lawyer 101 Blog Companies going public have a variety of structures for their transactions. Companies can go public using an initial public or direct public offering. They can obtain their shareholders by selling stock in an initial pub...
http://www.securitieslawyer101.com/form-s-1-disclosure/

Court Enters Judgments Against AutoChina International Limited and Hui Kai Yan

Securities Lawyer 101 Blog On June 25, 2014, the Securities and Exchange Commission (the "SEC") a Massachusetts federal court entered final judgments against China-based AutoChina International Limited and its senior executive Hui Kai Yan, defendant...
http://www.securitieslawyer101.com/autochina/