Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, January 30, 2013

Real Estate Executives Charged in Florida Investment Scheme

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today charged five former real estate executives who defrauded investors into believing they were funding the development of five-star destination resorts in Florida and Las Vegas when they were actually buying into a Ponzi scheme.

http://www.onlywire.com/r/117583802

Tuesday, January 29, 2013

Investment Scheme Targeting Lebanese and Druze Communities

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today charged a day trader in Sugar Land, Texas, with defrauding investors in his supposed high-frequency trading program and providing them falsified brokerage records that drastically overstated assets and hid his massive trading losses.

http://www.onlywire.com/r/117498250

Saturday, January 26, 2013

The JOBS Act- The Crowdfunding Limbo

Sample 17(b) Disclosure and Disclaimer

Current Reports on Form 8-K

About DTC Chills and Freezes

Social Media’s Impact on Public Companies

Publicly traded companies are increasing using their company websites and social media to supply their information to the public.  Investors are increasingly turning to electronic media as a principal source of information about publicly traded companies.  The SEC adopted Regulation

http://www.securitieslawyer101.com/social-medias-impact-on-public-companies/

SEC Registration Process

NASDAQ and NYSE Propose Amendments to Corporate Governance Listing Standards

Form 8-K

Reverse Stock Splits 101

JOBS Act - Research Analysts and Underwriters – Go Public 101 Blog

SEC Approves NYSE and NASDAQ Proposals Concerning Compensation Committees

Social Media's Impact on Public Companies

Thursday, January 24, 2013

HI DEF Enterprises - SEC Admin Proceeding

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission (“Commission”) deems it necessary and appropriate for the protection of investors to accept the Offer of Settlement submitted by Holiday RV Superstores, Inc.

http://www.onlywire.com/r/117161479

Wednesday, January 23, 2013

FINRA Seeks Cease & Desist Order Against Westor Capital Group

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. FINRA announced today that it has filed for a Temporary Cease-and-Desist Order against Herkimer, NY-based Westor Capital Group, Inc. and its President, Chief Compliance Officer and Financial and Operations Principal, Richard Hans Bach, to immediately stop the further misappropriation and misuse of customer funds and securities.

http://www.onlywire.com/r/117151266

Tuesday, January 22, 2013

EJR Agrees to 18 Month Bars

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today announced that Egan-Jones Ratings Company (EJR) and its president Sean Egan have agreed to settle charges that they made willful and material misstatements and omissions when registering with the SEC to become a Nationally Recognized Statistical Rating Organization (NRSRO) for asset-backed securities and government securities.

http://www.onlywire.com/r/117093320

Monday, January 21, 2013

Gregg Berman Named SEC Assoc Director of Analytics & Research

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today announced that Gregg E. Berman has been named Associate Director of the Office of Analytics and Research in the SEC’s Division of Trading and Markets.

http://www.onlywire.com/r/117008562

Thursday, January 17, 2013

SEC Charges John Darden with Insider Trading

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. On January 15, 2013, the Securities and Exchange Commission filed a civil injunctive action in the Northern District of Georgia against John M. Darden III.

http://www.onlywire.com/r/116760316

Wednesday, January 16, 2013

FINRA Launches Telephonic Mediation Pilot Program

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. FINRA announced today the launch of a pilot program offering parties in simplified cases pro bono or reduced-fee telephone mediation.

http://www.onlywire.com/r/116681162

Monday, January 14, 2013

FINRA Issues Voluntary Interim Form for Crowdfunding Portals

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. Those intending to become a funding portal may voluntarily submit information regarding their business on the interim form.

http://www.onlywire.com/r/116517405