Investor Relations 101 l Securities Lawyer 101 Blog
Going Public LawyerSecurities Lawyer 101 Blog Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price and trading volume. The...
View ArticleInvestor Relations & General Solicitation After the JOBS Act
Going Public LawyerSecurities Lawyer 101 Blog Investor relations also known as stock promotion involves the publication of information about a public company to increase its stock price and trading...
View ArticleKevin McKnight and Company He Promoted Charged With Fraud
Going Public LawyerSecurities Lawyer 101 Blog On August 4, 2014, the Securities and Exchange Commission (“SEC”) announced an administrative proceeding against Kevin McKnight and his investor relations...
View ArticleWhat Rules Apply to Investor Relations Activity?
Going Public LawyerInvestor 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 this...
View ArticleWhat 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...
View ArticleWhat Disclosure Is Really Required For Investor Relations Firms?
Going Public LawyerWe are often contacted by investors, stock promoters and investor relations firms after the SEC or DOJ brings an action against stock promoters. We are asked a myriad of questions...
View ArticleTwo Class Action Lawsuits Filed Against CBD Brands
Securities Lawyer 101 In our previous blog post, we wrote about the FDA’s recent releases detailing how they were unwilling to label CBD as a safe dietary supplement. In response to the FDA’s decision,...
View ArticleSEC: Crypto Founder Used ICO Funds for Dating and Rent
Securities Lawyer 101 Eran Eyal was charged by the SEC this week for selling unregistered securities and improperly using the funds that he raised. Through his Initial Coin Offering (ICO), Eyal and his...
View ArticleWilliam Smith and Palm Beach Atlantic Financial Group Charged by SEC
Securities Lawyer 101 On December 11, 2019, Palm Beach Atlantic Financial Group, LLC and its managing member and sole owner, William A. Smith, were charged by the Securities and Exchange Commission...
View ArticleU.S. Rep Christopher Collins Pleads Guilty to Insider Trading
Securities Lawyer 101 Christopher Collins, the first member of Congress to endorse Donald Trump for President, pleaded guilty to insider trading along with his son, on December 9, 2019. He had to...
View ArticleTim Leissner Banned for Life by SEC Due to FCPA Violations
Securities Lawyer 101 Tim Leissner, former head of Asian Investment with Goldman Sachs, has been permanently banned from the securities industry by the Securities and Exchange Commission (SEC) due to a...
View ArticleNanotech Engineering, Michael James Sweaney, David Sweaney, and Jeffery Gange...
Securities Lawyer 101 Nanotech Engineering Inc., a solar panel company based in California, has allegedly defrauded over 100 investors, and the SEC has obtained a temporary restraining order and asset...
View ArticleSEC Actions & Administrative Proceedings
Securities Lawyer 101 Most public companies realize that the Securities and Exchange Commission (the “SEC”) is a law enforcement agency. Receiving an SEC subpoena is a new experience for most market...
View ArticleOTC Markets Policies on Section 17(b) and Stock Promotion
Securities Lawyer 101 The SEC and Section 17(b) Stock Promotion In the over-the-counter equities market, paid stock promotion has long been of concern to the Securities and Exchange Commission (“SEC”)...
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 Charges Kim Kardashian with Violating Section 17(b)
Securities Lawyer 101 On October 3, 2022, the SEC Division of Enforcement entered into a settlement of charges with Kimberly Kardashian (“Kardashian” or “Respondent”). The SEC Offer of Settlement (the...
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...
View Article
