SEC Approves FINRA rule allowing transaction based compensation to unregistered persons

The Securities and Exchange Commission (the “SEC”) recently approved Rule 2040 proposed by the Financial Industry Regulatory Authority (“FINRA”) which applies to the payment of transaction based compensation to unregistered persons by  m...
https://www.securitieslawyer101.com/2015/sec-approves-finra-rule-allowing-transaction-based-compensation-to-unregistered-persons/

SEC Issues Trading Suspension of eCareer Common Shares

On April 8, 2014, the Securities and Exchange Commission (the “SEC”) announced the temporary trading suspension of eCareer Holdings, Inc. of Boca Raton Florida. The trading suspension was issued pursuant to Section 12(k) of the Securities Excha...
https://www.securitieslawyer101.com/2015/sec-issues-trading-suspension-of-ecareer-common-shares/

SEC Charges Brian Polito With Oil and Gas Fraud

The Securities and Exchange Commission (the "SEC") Division of Enforcement filed suit against GC Resources, LLC and Brian J. Polito for oil and gas fraud.  According to the allegations, Polito defrauded investors through the sale of interests in o...
https://www.securitieslawyer101.com/2015/sec-charges-oil-gas-fraud/

OTC Markets Q & A – Going Public Lawyers

Going Public LawyerPosted By Brenda Hamilton, Securities Lawyer The OTC Markets offers several different tiers for companies to choose from when considering their services. These are the OTCQX, OTCQB and OTC Pink marketplaces.  Companies that trading on the OTC Markets span a broad range of sectors, from the ADRs of large cap conglomerates to small and micro-cap growth companies, SEC reporting companies... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/otc-markets-going-public-lawyers/

OTC Markets Q & A - Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer The OTC Markets offers several different tiers for companies to choose from when considering their services. These are the OTCQX, OTCQB and OTC Pink marketplaces.  Companies that trading on the OTC Mar...
https://www.securitieslawyer101.com/2015/otc-markets-going-public-lawyers/

Broker Turned Bank Robber Sanctioned by the SEC

Going Public Lawyer
https://www.securitieslawyer101.com/2015/broker-bank-robber-sanctioned-sec/

Broker Turned Bank Robber Sanctioned by the SEC

  The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (the “SEC”) regularly discipline errant brokers and financial advisers, but Leonard Eric Burd's case is unusual by any standard.  On Mar...
https://www.securitieslawyer101.com/2015/broker-turned-bank-robber-sanctioned-by-the-sec/