Securities Lawyer 101 Blog
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For more than 20 years, the lawyers at Hamilton and Associates Law Group have represented clients in going public, corporate finance, and securities law matter. Additionally, our securities lawyers have assisted issuers who go public direct in all aspects of SEC compliance related to their transition from private to public company status.
Securities Lawyer 101 Blog
11h ago
Securities Lawyer 101
On April 29, 2024, the Securities and Exchange Commission (the “SEC“) charged John Francis Forsythe, III (“Forsythe”), a resident of New Jersey, and Tri-Bridge Ventures, LLC (“Tri-Bridge”), an entity he owns and controls, with failing to register with... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1w ago
Securities Lawyer 101
On April 15, 2024, the U.S. District Court for the Southern District of New York entered a final judgment against relief defendant Dori-Ann Stubos, ordering her to pay more than $2.3 million in disgorgement and prejudgment interest. In... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
3w ago
Securities Lawyer 101
Ross Mandell, a former broker and the owner of Sky Capital LLC and Sky Capital Holdings Ltd. was released from federal home confinement in early January of this year. He isn’t letting grass grow under his feet: he... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
Companies become subject to the SEC’s periodic reporting requirements in several ways, including by filing a registration under the Securities Act of 1933, as amended or pursuant to the Securities Exchange Act of 1934. The SEC’s periodic reporting... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
Prospective For Underwriters & Broker-Dealers: Due Diligence Considerations Unlike traditional Initial Public Offerings (“IPOs”), there is no potential liability for issuers under Section 11 of the Securities Act in connection with Regulation A+ offerings. Sellers in Regulation A+... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
Form S-1 Benefits & Going Public When a company sells shares, the shares must be covered by an effective registration statement or exempt from the Securities & Exchange Commission’s registration statement requirements. Form S-1 is the most commonly... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
What Is Investor Relations? Investor relations or stock promotion involves disseminating information about a public company to increase its stock price and/or trading volume. The person who publishes this information is sometimes referred to as a “Stock Promoter”,... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
On March 19, 2024, the U.S. District Court for the District of Massachusetts entered final judgments against California resident Kevin C. Dills and two entities that Dills controlled, Bright Star International, Inc. and Life Sciences Journeys, Inc. In... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
Foreign companies going public in the United States must file a registration statement covering a class of securities pursuant to the Securities Exchange Act of 1934, as amended (“Exchange Act”) if the class of securities will be listed... Read More
Brenda Hamilton ..read more
Securities Lawyer 101 Blog
1M ago
Securities Lawyer 101
OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) to have an initial and ongoing $0.01 per share minimum bid price, submit an initial OTCQB application, pay annual fees,... Read More
Brenda Hamilton ..read more