Periodic Report Large Accelerated Filers Accelerated Filers Non-Accelerated Filers Form 10-K for Fiscal Year Ended December 31, 2023 February 29, 2024 March 15, 2024 April 1, 2024 Form 10-Q for Fiscal Quarter Ended March 31, 2024 May… Read More
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On February 14, 2024, the United States Court of Appeals for the Southern District of Florida made its ruling in the case of the Securities and Exchange Commission versus Ibrahim Almagarby and Microcap Equity Group, LLC, ruling in… Read More
Category: Blog Posts Tags: Almagarby, Aluf Holdings, Appeals Court, AXCG, Axxess Pharma, Big Apple Consulting, Big Apple Consulting USA Inc, Broker, broker-dealer, Bulova Technologies Group, CD International Enterprises, convertible debt, Convertible Note, convertible note lender, Convertible Notes, convertible promissory note, CUBA Beverage Company, Daniels Corporate Advisory Company, dark, David Foley, Dealer, death spiral financing, debt conversion, defunct, Dewmar International BMC, Dilution, Dilution Financing, Dilution Funder, District Court, East Coast Diversified Corp., ELRA, Elray Resources, Energy Revenue America, enforcement action, Exchange Act Section 15(a), Eyes on the Go, financing agreement, Finders, Gold & Silver Mining of Nevada, Gold and GemStone Mining Inc., Green Energy Enterprise, Green Energy Enterprises, Greenfield Farms Food, Grid Petroleum Corp./ Simlatus Corporation, GYOG, Halberd Corporation, HAON, Healthnostics, Healthy & Tasty Brands Corporation (a/k/a GRILLiT, Hybrid Coating Technologies, Ibrahaim Almagarby, Ibrahaim Almagarby Microcap Equity Group, Ibrahim Almagarby, In Ovations Holdings, Inc, Indo Global Exchange(s) Pte, InoLife Technologies, InternetArray, JDF Capital, JMJ Financial, John Fierro, judgment, Justin Keener, Las Vegas Railway Express, LIG Assets, Ltd., Marcia G Cooke, Medical Care Technologies Inc., Microcap, Microcap Equity, Microcap Equity Group, Microcap Equity Group LLC, microcap securities, Microcap Stock, MyECheck, Next Galaxy Corp., North American Cannabis Holdings, OTC Markets, OTC Markets Group, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Penny stocks, PM&E, ponzi scheme, PotNetwork Holdings Inc., PPJ Healthcare Enterprises, QASP, Quasar Aerospace Industries, regulation, reverse split, Robert W Lowry, Ronald E. Pipoly Jr, Rule 144, Sanomedics, SARS, scam, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, securities, Securities and Exchange Commission, Securities Attorney, Securities Fraud, securities law, Securities Law Defense, Seven Arts Entertainment, stock scheme, stock trading, stocks, Suspicious Activity Reports, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, Toxic Funders, toxic funding, toxic lending, Underwriter, United States Court of Appeals for the Southern District of Florida, Unregistered Broker, Unregistered broker-dealer, Unregistered Dealer, US District Court for the Southern District of Florida
On February 5, 2024, the Securities and Exchange Commission (the “Commission”) obtained a final judgment against defendant Jeffrey Auerbach, whom the SEC previously charged for his role in a fraudulent scheme to bribe a stockbroker to buy a… Read More
Category: Blog Posts Tags: bribery, bribery scheme, broker bribery scheme, broker-dealer, final judgment, Financial Industry Regulatory Authority, FINRA, Forcefield Energy Inc, Gino M. Pereira, Jarid Mitchell, Jeffrey Auerbach, LogicMark Inc, nasdaq, Nxt-ID Inc, NXTD, Richard Brown, Richard St. Julien, SEC, SEC Attorney, SEC Complaint, Securities and Exchange Commission, stock fraud
Section 5 of the Securities Act of 1933, as amended, (the “Securities Act”) requires the offer and sale of securities to be registered under the Securities Act, unless the security or transaction qualifies for an exemption from registration. Rule… Read More
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Most investors are likely unaware that they can petition the SEC for new rules or changes to old ones. They can even ask that rules be entirely repealed. All that’s needed is to send a proposal to the… Read More
Category: Blog Posts Tags: COIN, Coinbase Global, Enforcement Division, FINRA, Gary Gensler, Hester Pierce, NCLA, New Civil Liberties Alliance, petition, regulation, rule change, rules, SEC, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, Securities and Exchange, Securities and Exchange Commission, Securities Attorney, Toxic Lender, Unregistered DealerSecurities Act, Vanessa Countryman
The Securities and Exchange Commission (“SEC”) has published releases relating to Shell Companies that affect the use of Rule 144 of the Securities Act of 1933, as amended (the “Securities Act”), by shareholders of Shell Companies. In addition,… Read More
Category: Blog Posts Tags: Legal Opinion, Legend Removal, Legend Removal Opinion, Rule 144, Rule 144 Legal Opinion, Rule 144 legal Opinions, Rule 144 Legend, Rule 144 Legend Opinion, Rule 144 Legend Removal, Rule 144 Opinion, Rule 144 Safe Harbor, Section 5, Securities Act Section 5, Shell Company, Tradability Opinion, Transfer Agent Opinion
On January 25, 2024, the Securities and Exchange Commission announced that Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), agreed to settle charges that it made misleading statements in forms filed with the SEC as… Read More
Category: Blog Posts Tags: cease-and-desist, initial public offering, IPO, Northern Star Investment Corp. II, penalty, SEC, SEC Complaint, SEC Order, Securities and Exchange Commission, Securities Attorney, SPAC, Special Purpose Acquisition Company
On January 29, 2024, the Securities and Exchange Commission (the “SEC“) charged Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their involvement in a fraudulent crypto asset pyramid scheme known as HyperFund that raised… Read More
Category: Blog Posts Tags: bitcoin, Bitcoin Beautee, Brenda Chunga, crypto, crypto scam, HyperFund, HyperNation, HyperVerse, pyramid scheme, Sam Lee, scam, Securities Attorney, Xue Lee
On January 23, 2024, the Securities and Exchange Commission (the “SEC”) announced the filing of an enforcement action against Aryeh Goldstein, a resident of Florida and New York, and two entities he controls, Adar Bays, LLC, located in… Read More
Category: Blog Posts Tags: Adam Long, Adar Alef LLC, Adar Bays LLC, Alexander J Dillon, Alfred Sollami, Aluf Holdings, Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, Axxess Pharma, BHP Capital NY Inc, broker-dealer, Bryan Panofel, Bulova Technologies Group, Carebourn Capital LP, CD International Enterprises, Chicago Ventures Partners LP, Chip Alvin Rice, Convertible Note, Convertible Notes, Cosmin I Panait, Crownbridge Partners LLC, Daniels Corporate Advisory Company, Edward M Liceaga, George Investments LLC, GPL Management LLC, GPL Ventures, Ibrahim Almagarby, Iliad Research and Trading LP, JMJ Financial, John M. Fife, Joseph Lerman, Justin W Keener, L2 Capital LLC, Las Vegas Railway Express, LG Funding LLC, LIG Assets, Louis Posner, Microcap Equity Group LLC, Miles M Riccio, Morningview Financial LLC, Oasis Capital LLC, otc, Penny stocks, River North Equity LLC, SEC, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Sepas Ahdoot, Soheil Ahdoot, Tonaquint Inc, Toxic Lender, Typenex Co-Investment LLC, Unregistered broker-dealer, Unregistered Dealer
Four Canadian nationals and one former California attorney, who is believed to be residing in Mexico, were indicted on Jan. 9, 2024 in connection with long-running international securities fraud schemes in which they sold millions of shares in… Read More
Category: Blog Posts Tags: Adam Christopher Kambeitz, Alon Friedlander, Andrew Dale Wise, Anthony Killarney, attorney, Benjamin Thompson Kirk, Chester Alvarez, Christopher Lee McKnight, Ciapala, Courtney M. Kelln, Courtney Vasseur, Craig James Auringer, Curtis Lehner, Daniel Mark Ferris, David Sidoo, Dean Shah, doj, Domenic Calabrigo, EVBC, Evolution Blockchain Group Inc, fbi, Francis Biller, fraud, Frederick L Sharp, Frederick Sharp, fugitive, Garmatex Holdings Ltd, Geoffrey Allen Wall, GRMX, Hasan Sario, Henry Clarke, Indictment, IQST, iQSTEL Inc, James M Agrim, Jay Scott Kirk Lee, Joseph Padilla, Julius Csurgo, Kenneth Ciapala, Luis Carrillo, Massimiliano Pozzoni, Mike V.G. Veldhuis, Money Laundering, nominees, OLMM, OneFlie Technologies Corp, Paul Sexton, Petar Dmitrov Mihaylov, PSNX, Pure Snax International Inc, Rajesh Taneja, Range Impact Inc, Raymond Dove, Richard Targett-Adams, RNGE, Roger Knox, Ronald Bauer, SEC, Securities Attorney, Securities Exchange Commission, Steve Bajic, Stevia First Corp, STVF, Tyler Crockett, Ubong Uboh, Ulrik Debo, VBIO, Vitality BioPharma Inc, WinterCap SA
On January 12, 2024, the U.S. Attorney’s Office for the District of Minnesota announced Aditya Raj Sharma of Maple Grove, Minnesota, had been indicted for defrauding investors and financial institutions out of more than $10 million. According to… Read More
Category: Blog Posts Tags: Aditya Raj Sharma, CARES Act, criminal charges, Crosscode Inc, doj, financial fraud, fraud, Indictment, Investement Fraud, Investment Fraud, Koudgaze Inc, PPP loan, Private Placement Memorandum, scam, SEC Action, SEC Divsion of Enforcement, SEC Subpoena, Securities Attorney, Securities Fraud
On January 12, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Jonathan Farber, Aarif Jamani, and Brian Keasberry for securities fraud. According to the complaint filed by the SEC in the United States District Court… Read More
Category: Blog Posts Tags: Aarif Jamani, Action Stock Transfer, Brian Keasberry, BRK Inc, BRKK, County, County Line Energy Inc, CYLC, dodd-frank, Emanuel Margaretis, fraud, Gen 2 Technologies Inc, Grow Bow EcoSystems, Jonathan Farber, MNIZ, OTC Markets, ponzi scheme, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, SEC Division of Enforcement, SEC Divsion of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Subpoena, Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, stock manipulation
On December 21, 2023, Siddharth Jawahar, 36, a former investment advisor, was indicted by a grand jury in U.S. District Court in St. Louis on three counts of wire fraud and one count of investment adviser fraud. The indictment… Read More
Category: Blog Posts Tags: County, dodd-frank, doj, fbi, Indictment, Investment Fraud, OTC Markets, Philip Morris Pakistan, PMP, ponzi scheme, Ponzi Scheme Lawyer, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, SEC Division of Enforcement, SEC Divsion of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Subpoena, Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Siddharth Jawahar, stock manipulation, Swiftarc Capital, Swiftarc Capital LLC, United States Attorney
On Tuesday, January 2, 2024, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule with the Securities and Exchange Commission (the “Commission”) seeking to tighten Rule 3240, which governs borrowing and lending between registered financial professionals and… Read More
On January 3, 2024, the Securities and Exchange Commission (the “SEC”) announced that it obtained an asset freeze and other emergency relief concerning an alleged $93 million real estate investment fraud perpetrated by Miami-based developer Rishi Kapoor. The… Read More
Category: Blog Posts Tags: Eiahi Kapoor, investment scam, investment scheme, investors, Location Ventures LLC, misappropriated funds, Ponzi Scheme Lawyer, real estate, real estate development fraud, Rishi Kapoor, SEC, SEC Action, SEC Divsion of Enforcement, SEC Subpoena, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Urbin LLC
Short selling, the practice of betting a stock will go down, not up, has been controversial since it was invented more than 400 years ago in the Netherlands. In the early 1600s, there was only one stock in… Read More
Category: Blog Posts Tags: Citron Research, County, dodd-frank, Dutch East India Company, Hindenburg Research, Isaac le Maire, Lehman Brothers. SEC Chair, Muddy Waters, Naked Short, OTC Markets, ponzi scheme, Sabby Management, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, SEC Division of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Subpoena, Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Seeking Alpha, Short and Distort, Short Sale, Short Seller, Short Selling, short trade, stock manipulation, Tingo Group
On December 18, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Mmobuosi Odogwu Banye, a/k/a Dozy Mmobuosi, and three affiliated U.S.-based entities of which he is the CEO– Nasdaq-listed Tingo Group Inc., OTC-traded Agri-Fintech Holdings… Read More
Category: Blog Posts Tags: ABTI, Agri-Fintech Holdings Inc, Alex Lightman, Alterola Biotech Inc, Brandon Kochkodin, Chris Cleverly, Craig Marshak, Darren Mercer, Deloitte Brightman Almagor Zohar, Donald Trump, Dozy Mmobuosi, Dr. Daniel Reshef, Expert Market, Forbes, fraud, fraudulent financials, Hindenburg Research, Israel, Leslie Greyling, Mmobuosi Odogwu Banye, nasdaq, Nigeria, OTC Markets, QEBR, research report, scam, SEC Attorney, SEC Complaint, SEC suspension, Short Selling, Ting INc. Agri-Fintech Holdings Inc, Tingo Foods PLC, Tingo Group Inc, Tingo International Holdings Inc, Tingo Mobile Limited, TIO, TKCM, TMNA, Token Communities Ltd, Virtual medical International Inc
M&A BROKERS EXEMPTION In December of 2022, President Biden signed the Consolidated Appropriations Act of 2023 into law. The new law includes a “policy rider” for certain mergers and acquisitions brokers (M&A brokers) in Division AA, Title V, Small… Read More
Category: Blog Posts Tags: acquisition, broker-dealer, Consolidated Appropriations Act of 2023, exemption, Joe Biden, M&A Broker, M&A exemption, merger, mergers and acquisitions, SEC Registration, Securities Attorney, Securities Exchange Act
On December 6, 2023, a three-count indictment was unsealed in federal court in Brooklyn charging Raymond John Pirrello, Jr., also known as “Ray John,” with securities fraud conspiracy, wire fraud conspiracy and securities fraud relating to a scheme… Read More
Category: Blog Posts Tags: Anthony DiTucci, bar, Broker, broker-dealer, criminal charges, doj, FINRA, fraud, Indictment, insider trading, JL Rivera Enterprises Ltd, Joseph Rivera, Late Stage management LLC, Lawrence Penna, Marcello Follano, Pre IPO Marketing Inc, pre-IPO, pre-IPO scam, Prior 2 IPO Inc, Prior2IPO, Raymond John Pirrello Jr, Raymond Pirrello, Robert Cassino, SEC, Securities and Exchange Commission, Thomas W. Avent Jr
On December 4, 2023, Swiss private bank Banque Pictet et Cie SA admitted to conspiring with U.S. taxpayers and others to hide more than $5.6 billion in 1,637 secret bank accounts in Switzerland and elsewhere and to conceal… Read More
Category: Blog Posts Tags: Banque Pictet et Cie SA, County, deferred prosecution, dodd-frank, fraud, Internal revenue service, IRS, Money Laundering, offshore accounts, OTC Markets, ponzi scheme, Scalping, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, SEC Division of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Section 17(b), SEC Subpoena, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, settlement, stock manipulation, Swiss Bank, tax evasion, tax fraud, The Pictet Group
In the past three years, some important changes have occurred to how “penny stocks” or “microcaps” trade and are regulated. By the early 2000s, they’d moved from the obscurity of the National Quotation Bureau’s Pink Sheets to a… Read More
Category: Blog Posts Tags: AMC, AMC Entertainment Holdings, APES, APS, Awesome Penny Stock, CMKM Diamonds Inc, CMKX, compliance, Cromwell Coulson, delisting, Dilution, dormant shells, E-Trade, Eric Van Nguyen, Expert Market, Fidelity, FINRA, GameStop, GME, Grey Market, initial public offering, IPOs, John Babikian, low floats, Market-adjustable securities, meme stocks, microcaps, nasdaq, nyse, OTC Link, OTC Markets Group, OTCBB, Penny stocks, pink sheets, preferred stock, promissory notes, ramp-and-dump, Reddit, reverse split, Rule 15c211, SEC, Securities Attorney, Shell, shell hijacking, shell peddler, stock manipulation, Stock Promotion, TD Ameritrade, warrants
Registration Statements on Form S-3 is a short form registration statement under the Securities Act of 1933, as amended (the “Securities Act”), which may be used by NASDAQ, NYSE and OTC Markets public companies for follow-on offerings and public… Read More
Category: Blog Posts Tags: Exchange Act Report, Form 10, Form 10 Registration Statement, Form 10-K, Form 8-K, Form S-1, Form S-1. Registration Statement, Form S-3, Form S-3 Eligibility, Form S-3 Registration Requirements, Form S-3 Registration Statement, Form S-3 Requirements, Form S-3 shelf registration statement, Form S-4, Going Public, Going Public Transaction, nasdaq, nyse, OTC Markets, Prospectus, Prospectus Supplement, public companies, Public Company, registration, Registration Statement, registration statements, s-3, SEC Comment, SEC reporting issuer, SEC Reporting Requirements, SEC review, Securities Act, Securities Exchange Act, Securities Offering, Selling Shareholders, Selling Stockholders, Shelf Registration Statement, Shell Companies, Shell Company, Well-Known Seasoned Issuers. WKSI
On November 13, 2023, United States District Judge William F. Kuntz, II, of the United States District Court of the Eastern District of New York made his decision in LG Capital Funding LLC’s Motion to Dismiss the Securities… Read More
Category: Blog Posts Tags: Alternative Investment Management, Boruch Greenberg, Broker, broker-dealer, Convertible Notes, County, Daniel Gellman, Dealer, Dilution, discount, dodd-frank, Eli Safdieh, Exchange Act, John Lerman, LG Capital Funding LLC, Ltd., National Association of Private Fund Managers, OTC Markets, Penny stocks, ponzi scheme, Scalping, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, SEC Division of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Section 17(b), SEC Subpoena, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, stock manipulation, toxic funding, Trading and Markets Project Inc, United States District Court, variable-rate, William F. Kuntz II
Each offer and sale of a security must be (a) registered with the Securities and Exchange Commission (SEC); or (b) subject to an exemption from registration under the Securities Act of 1933, as amended (the “Securities Act”). The… Read More
Category: Blog Posts Tags: Accredited Crowdfunding, Accredited Investor, Accredited Investor Verification, Accredited Investor Verification Provider, Bad Actor, Crowdfund, Crowdfunding, Crowdfunding Capital Raise, Crowdfunding Financing, Crowdfunding Lawyer, Direct Listing, Direct Listing Lawyer, Equity, Equity Offering, Exempt Offering, Form C, Form D, Intrastate Rule 147, Intrastate Rule 147A, Intrastate Section 3(a)(11), offering circular, PPM, Private Placement, Private Placement Memorandum, raising capital, Regulation A, Regulation A Tier 2, Regulation A+. Tier 1, Regulation CF, Regulation CF Attorney, Regulation CF Attorneys, Regulation CF Capital Raise, Regulation CF Crowdfunding, Regulation CF Funding, Regulation CF Law Firm, Regulation CF Lawyer, Regulation CF Lawyers, Regulation CF offering, Regulation CF Requirements, Regulation Crowdfunding, Regulation Crowdfunding Attorney, Regulation Crowdfunding attorneys, Regulation Crowdfunding Lawyers, Regulation Crowdfunding Offering, Regulation Crowdfunding Reporting, Regulation Crowdfunding Requirements, Regulation Crowdfunding SEC Reporting, Regulation Crowdfunding Section 4(a)(6), Regulation Crowdfunding Securities Offering, Regulation CW, Regulation D, restricted securities, Rule 504, Rule 504 Attorney, Rule 504 lawyer, Rule 506, Rule 506 (b), Rule 506-c, Rule 506(b), Rule 506(b) attorney, Rule 506(b) lawyer, Rule 506(c), Rule 506(c) lawyer, SEC, SEC Attorney, SEC Registration, Section 4(a)(2), Section 4(a)(6) Crowdfunding, Section 4(a)(6) Offering, SECTION 4(A)6, Securities Act, Securities and Exchange Commission, Securities Exemption, Securities Offering
Under applicable SEC rules for periodic reporting, an SEC reporting issuer must generally report certain current events on Form 8-K within four business days after a triggering event has occurred. Current Reports on Form 8-K provide investors with … Read More
Category: Blog Posts Tags: Current Report on Form 8-K, current reports, Current Reports on Form 8-K, Form 10-K, Form 10-Q, Form 8-K, Form 8-K Current Report, Form 8-K SEC Disclosure and Requirements, Form 8k, material information, Public Company, SEC, SEC Attorney, SEC Change of Control, SEC compliance, SEC Form 8-K, SEC Reporting, SEC reporting issuer, SEC Reporting Requirements, trigger events, What are SEC Reporting Requirements
Convertible Financing For decades, microcap issuers on the OTC Markets in need of financing have largely been forced to turn to what are known as “toxic funders” or “toxic lenders.” The money they offer comes with a hefty… Read More
Category: Blog Posts Tags: Alexander J Dillon, AMC, AMC ENTERTAINMENT, Big Apple Consulting, Carebourn Capital LP, Chicago Venture Partners LP, Chip Rice, Convertible Note, Convertible Notes, Cosmin I Panait, CyberKey Solutions, Dilution, Financial Industry Regulatory Authority, FINRA, GameStop, GME, GPL Management LLC, GPL Ventures LLC, Ibrahim Almagarby, Iliad Research and Trading L.P., JDF Capital Inc, JMJ Financial, John Fierro, John M. Fife, Justin Keener, Lenders, Microcap Equity Group LLC, nasdaq, Nasdaq Capital Market, New York Stock Exchange, OTC Markets, OTC Pink, Penny Stock, registered national securities association, RNSA, Rule 10c-1a, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, St George Investments LLC, Tonaquint Inc, Toxic Funder, toxic funding, Toxic Lender, Typenex Co-Investment LLC, Unregistered Dealer
SEC Provides Rule 15c2-11 Relief to Broker-Dealers Securities and Exchange Commission (“SEC”) Rule 15c2-11 prohibits broker-dealers from publishing or submitting securities of private issuers on the OTC Markets, unless the issuer has publicly filed current financial and other… Read More
On October 13, 2023, the Securities and Exchange Commission (the “SEC“) adopted new Rule 10c-1a, which will require certain persons to report information about securities loans to a registered national securities association (RNSA) and require RNSAs to make… Read More
Category: Blog Posts Tags: Convertible Notes, Dilution, Financial Industry Regulatory Authority, FINRA, Lenders, OTC Markets, Penny Stock, registered national securities association, RNSA, Rule 10c-1a, SEC, Securities and Exchange Commission, Securities Attorney, toxic funding, Toxic Lender
On October 10, 2023, the Securities and Exchange Commission adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments update Regulation 13D-G to require market participants to… Read More
Category: Blog Posts Tags: 5% ownership, beneficial ownership, control, Form 10-K, Form 10-Q, Form 8-K Current Report, Form 8k, Insider Reports, material information, Public Company, SC13d, SC13g, Schedule 13D, Schedule 13g, SEC, SEC Attorney, SEC Change of Control, SEC compliance, SEC Disclosure and Requirements, SEC Form 8-K, SEC Reporting, SEC reporting issuer, SEC Reporting Requirements, Sections 13(d) and 13(g), Securities and Exchange Commission, Securities Attorney, Securities Lawyer, trigger events, What are SEC Reporting Requirements
What is a Form S-1 Registration Statement? A Form S-1 Registration Statement is the most commonly used registration statement form for the offer and sale of securities under the Securities Act of 1933, as amended (the “Securities Act”)… Read More
Category: Blog Posts Tags: 10-K, 10-Q, 15c-211, confidential, Confidential Form S-1, Current Report on Form 8-K, current reports, Current Reports on Form 8-K, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, DPO, Exchange Act, Financial Industry Regulatory Authority, FINRA, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 10-K, Form 10-Q, Form 211, Form 8-K, Form 8-K Current Report, Form 8-K SEC Disclosure and Requirements, Form 8k, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form S-1 Registered Offering, Form S-1 Registered Stock, Form S-2, Form SEC, Go Public Direct, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Iniital Public Offering, initial public offering, IPO, Market Maker, material information, nasdaq, New York Stock Exchange, nyse, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTCQX, Public Company, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Regulation C, Regulation S-K, Regulation S-X, Rule 15c2-11, S-1 registration statement, SEC, SEC Attorney, SEC Change of Control, SEC Comments, SEC compliance, SEC Division of Corporation Finance, SEC Effectiveness, SEC Form 8-K, SEC Qualification, SEC Reporting, SEC reporting issuer, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, trigger events, Underwriter, Underwriting, What are SEC Reporting Requirements
Form S-3 Registration For NASDAQ, NYSE and OTC Markets Public Companies
Registration Statements on Form S-3 is a short form registration statement under the Securities Act of 1933, as amended (the “Securities Act”), which may be used by NASDAQ, NYSE and OTC Markets public companies for follow-on offerings and public… Read More
Category: Blog Posts Tags: Exchange Act Report, Form 10, Form 10 Registration Statement, Form 10-K, Form 8-K, Form S-1, Form S-1. Registration Statement, Form S-3, Form S-3 Eligibility, Form S-3 Registration Requirements, Form S-3 Registration Statement, Form S-3 Requirements, Form S-3 shelf registration statement, Form S-4, Going Public, Going Public Transaction, nasdaq, nyse, OTC Markets, Prospectus, Prospectus Supplement, public companies, Public Company, registration, Registration Statement, registration statements, s-3, SEC Comment, SEC reporting issuer, SEC Reporting Requirements, SEC review, Securities Act, Securities Exchange Act, Securities Offering, Selling Shareholders, Selling Stockholders, Shelf Registration Statement, Shell Companies, Shell Company, Well-Known Seasoned Issuers. WKSI