SEC Charges H.D. Vest Investment Securities - Securities Lawyer 101

On March 4, 2015, the Securities and Exchange Commission (the “SEC”) announced it had charged H.D. Vest Investment Securities with violating key customer protection rules after failing to adequately supervise registered representatives who misapp...
https://www.securitieslawyer101.com/2015/sec-charges-h-d-vest-investment-securities-securities-lawyer-101/

SEC Adds Insider Trading Defendants - By: Brenda Hamilton Securities Lawyer

On March 6, 2014, the Securities and Exchange Commission (the “SEC”) announced it had added Billy Joe Adcox, Jr. of Ruston, Louisiana to a civil injunctive action in the United States District Court for the Western District of Louisiana allegin...
https://www.securitieslawyer101.com/2015/sec-adds-insider-trading-defendants-by-brenda-hamilton-securities-lawyer/

What is a Wells Notice ? Securities Lawyer 101

Securities Lawyer 101 Blog After the staff of the Securities and Exchange Commission ("SEC") Division of Enforcement staff has completed its investigation, it may send a notice ("Wells Notice")  to the party being investigated notifying them ...
https://www.securitieslawyer101.com/2014/wells-notice-disclosure-obligations/

FINRA Fines LaSalle Securities For Private Placements

The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission require that broker-dealers perform adequate due diligence before letting a registered representative recommend private placements made pursuant to R...
https://www.securitieslawyer101.com/2015/finra-fines-lasalle-securities-for-private-placements/

What Is A Form 10 Registration Statement? Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer Form 10 is a registration statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”). All companies can register securities on...
https://www.securitieslawyer101.com/2015/registration-statements-form-10/

What Is A Form 10 Registration Statement? Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer Form 10 is a registration statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”). All companies can register securities on...
https://www.securitieslawyer101.com/2015/registration-statements-form-10/

Registration Statements on Form 10

Posted By Brenda Hamilton, Securities Lawyer Form 10 is a registration statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”). All companies can register securities on...
https://www.securitieslawyer101.com/2015/registration-statements-form-10/