What Rules Apply to Investor Relations Activity? Stock Promotion Guide
Securities Lawyer 101 Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price and trading volume. The person who publishes...
View ArticleCAN-SPAM Issuers and Investor Relations – Securities Lawyer 101
Securities Lawyer 101 If you use email in your business, you should be aware of the requirements of the CAN-SPAM Act ("CAN-SPAM"). Investor relations providers often attempt to remain anonymous. Brenda...
View ArticleSEC Sues LG Capital Funding and Its Managing Member, Joseph Lerman, for...
Securities Lawyer 101 On June 7, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against LG Capital Funding, LLC (“LG Capital”) and its managing member Joseph Lerman of...
View ArticleSEC Charges Neil B. Swartz and Timothy S. Hart
Securities Lawyer 101 On September 9, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against TBG Holdings Corporation (“TBG”), its principals Neil B. Swartz and Timothy S....
View ArticleReverse Mergers After Amended Form 15c-21
Securities Lawyer 101 A “Reverse Merger” is a transaction whereby a privately held company becomes a Public Company (“Public Company” or “Public Company Candidate”) by acquiring or merging with a...
View ArticleSEC Charges Convertible Note Dealer, BHP Capital NY Inc, and Its Owner, Bryan...
Securities Lawyer 101 On Thursday, June 16, 2023, the Securities and Exchange Commission (the “SEC”) announced settled charges against a convertible note dealer, BHP Capital NY, Inc., and its managing...
View ArticleHester Peirce Asks: Are SEC Penny Stock Bars Fair?
Securities Lawyer 101 On June 21, 2023, the SEC announced the resolution of four administrative proceedings that had been filed against unregistered broker-dealers and associates of unregistered...
View ArticleSEC Charges Unregistered Brokers, Jeffrey K. Galvani and Stuart A. Jeffery,...
Securities Lawyer 101 On November 17, 2022, the Securities and Exchange Commission (the “SEC”) charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with...
View ArticleSEC Charges Adam R. Long, L2 Capital, LLC and Oasis Capital LLC, as...
Securities Lawyer 101 On September 28, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Adam R. Long of Dorado, Puerto Rico, and two companies Long owns and controls for...
View ArticleReverse Mergers l Corporate Hijacking Scams l Securities Lawyer 101
Securities Lawyer 101 Securities Lawyer 101 Blog Corporate hijackings of public shell companies–also called corporate identity theft–has been around for more than two decades. The public companies...
View ArticleHow Do Reverse Splits Affect My Shares? Going Public
Securities Lawyer 101 Reverse stock splits are often used by public companies to reduce the amount of securities outstanding. Reverse splits are also used by private companies in corporate...
View ArticleSEC Revokes Five Issuers to Prevent Reverse Merger Scams
Securities Lawyer 101 Securities Lawyer 101 Blog On May 24, 2013, the Securities and Exchange Commission (“SEC”) revoked the registrations of Enercorp, Inc. (ENCP), FTS Group, Inc. (FLIP), Games, Inc....
View ArticleCan I List On the OTC Pinks Using a Reverse Merger? Going Public Lawyers
Securities Lawyer 101 Securities Lawyer 101 Blog One way for private companies to go public is through a Reverse Merger (“Reverse Merger”) with a public shell company. Securities regulators tend to...
View ArticleReverse Merger Bootcamp l Going Public Attorneys
Securities Lawyer 101 Securities Lawyer 101 Blog Over recent years, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have overhauled the rules...
View ArticleSEC Charges Aryeh Goldstein, Adar Bays, LLC, and Adar Alef, LLC for Failure...
Securities Lawyer 101 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,...
View ArticleIbrahim Almagarby Loses Unregistered Dealer Appeal
Securities Lawyer 101 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...
View ArticleInvestor Relations 101 – The Securities Laws & Stock Promotion
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...
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