Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, August 26, 2015

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

Tuesday, August 25, 2015

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

Monday, August 24, 2015

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/

SEC Charges Microcap Stock Promoters


Last 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 pur...
https://www.securitieslawyer101.com/?p=31804

Regulation D and PPM Lawyers – Going Public


Going Public LawyerA private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling either debt or equity in an exempt offering.  In registered direct public offerings, the resale of these shares are often registered on Form S-1. These... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/regulation-d-ppm-lawyers/

Sunday, August 23, 2015

Regulation D and PPM Lawyers - Going Public


A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling ei...
https://www.securitieslawyer101.com/?p=31789

Saturday, August 22, 2015

Signator Investors Settles SEC Charges


On August 13, 2015, the Securities & Exchange Commission (SEC) announced that three Maryland men have agreed to settle charges that they defrauded investors in a company that owns and operates residential and commercial real estate.  Boston-...
https://www.securitieslawyer101.com/2015/signator-investors/

Tuesday, August 18, 2015

What Are Fiduciary Duties? Going Public Attorneys


Going Public LawyerA fiduciary duty exists in where trust and confidence is placed in another. Fiduciary duties arise in many different contexts in securities matters and the going public process. Fiduciary duties also arise from a written agreement that authorizes another to act as the grantor’s agent. The existence and scope of a fiduciary duty is based on the nature of the... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/fiduciary-duty-going-public/

Monday, August 17, 2015

What Are Fiduciary Duties? Going Public Attorneys


A fiduciary duty exists in where trust and confidence is placed in another. Fiduciary duties arise in many different contexts in securities matters and the going public process. Fiduciary duties also arise from a written agreement that authorizes a...
https://www.securitieslawyer101.com/?p=31778

Aegis Capital Corporation fined $950,000 By FINRA


Going Public LawyerAegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stocks of five issuers and anti-money laundering supervisory failures. As a result, Aegis is also required to retain an independent consultant to review its supervisory and AML systems and procedures. In addition, Charles D. Smulevitz and Kevin C. McKenna,... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/aegis-capital-corporation-fined-950000-by-finra/

Sunday, August 16, 2015

Aegis Capital Corporation fined $950,000 By FINRA


Aegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stocks of five issuers and anti-money laundering supervisory failures. As a result, Aegis is...
https://www.securitieslawyer101.com/?p=31775

Disclosure Obligations in Regulation A+ Offerings


The Anti-Fraud Provisions And  Regulation A+  On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new rules are often referred to as Regulation A+. These rules are designed to facilitate sm...
https://www.securitieslawyer101.com/2015/disclosure-in-regulation-a-offerings/

Going Public Shareholder Requirements l Going Public Lawyers


The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission (“SEC”) reporting company. All companie...
https://www.securitieslawyer101.com/2015/shareholder-requirements-going-public-lawyers/

Saturday, August 15, 2015

Going Public Shareholder Requirements l Going Public Lawyers


Going Public LawyerThe going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission (“SEC”) reporting company. All companies seeking public company status must meet certain requirements in order for their securities to be publicly traded. This holds true for both reporting... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/shareholder-requirements-going-public-lawyers/

Friday, August 14, 2015

Disclosure Obligations in Regulation A+ Offerings


The Anti-Fraud Provisions And  Regulation A+  Form 1- A sets forth line item disclosures that must be provided in Regulation A+ offerings. These line item disclosures are the minimum disclosures required. In addition to these line item disclosure...
https://www.securitieslawyer101.com/2015/disclosure-in-regulation-a-offerings/

Rule 144 Q & A - Going Public Lawyers


The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities Act, unless the security or transaction qualifies for an exemption from registration. Rule 144 of the Securitie...
https://www.securitieslawyer101.com/2015/rule-144-going-public-lawyers/

What In The World Is A Security? Going Public Lawyers


A company going public must understand which capital raising methods involve a "security". A company is only subject to federal and state securities laws if it is selling what is defined as a “security.”  If you are selling stock in your in...
https://www.securitieslawyer101.com/2015/what-is-a-security-going-public/

Sunday, August 2, 2015

SEC Charges Phillip Kueber – Going Public Attorneys


Going Public LawyerOn July 31, 2015, the Securities and Exchange Commission (the “SEC”) announced it had charged Phillip Kueber, Canadian citizen with conducting a scheme to conceal his control and ownership of penny stock, Cynk Technology Corp.  On July 11, 2014, the SEC suspended trading in the stock, Cynk Technology Corp., rose to more than $21 from less than 10 cents per... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/cynk-phillip-keuber/

Securities Law & Going Public Attorneys


  Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of regulations with which issuers must becom...
https://www.securitieslawyer101.com/2015/going-public/