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Reefer Madness Continues As More Are Indicted In Pot Stock Scams

On August 5, 2014, the Attorney’s Office for the Western District of Washington announced criminal charges against Mikhail Galas, Alexander Hawatmeh, and Christopher Mrowca in connection with two heavily touted pot stocks, Growlife and Hemp, Inc., and several other penny issues.

Crucible Capital and Chuck Moore Indicted for Obstructing SEC Investigation

On August 9, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Chuck Moore and Crucible Capital Group, a New York-based brokerage firm for allegedly violating net capital requirements and falsifying books and records to conceal the capital deficiencies.

SEC Charges Julian Brown and Bahamian Brokerage Firm, Alliance Investment Management

On August, 8, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Julian Brown and his firm Alliance Investment Management Limited (AIM).

Corporate Hijackings During The Going Public Process

Corporate hijackings, also known as corporate identity theft, of public shell companies have been a problem for more than a decade.

Section 16 Reporting & Going Public Transactions

Once the SEC staff declares a company’s Form S-1 registration statement effective in a going public transaction, the company becomes subject to Exchange Act reporting requirements even if it does not have its ticker symbol.

Confidential Submission of Draft SEC Registration Statements

The Jumpstart Our Business Startups Act (the "JOBS Act") allows an "emerging growth company" to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the "SEC") on a confidential basis.

SEC Obtains Judgments Against Danny Garber and Michael Manis

On August 13, 2015, the Securities and Exchange Commission announced settlements and final judgments were entered against Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, and certain entity defendants in SEC v. Garber et al., 12-cv-9339 (SAS) (S.D.N.Y.).

How Foreign Issuers Benefit from the JOBS Act

As the Securities and Exchange Commission ("SEC") finishes the rule making that provides a structure for full implementation of the JOBS Act, much has been written about its impact on going public transactions and foreign issuers.

Exempt Direct Public Offering Insights

One of the most important aspects of the going public process involves deciding the terms of the offering that will be presented to investors. The terms of a company's offering could have future impacts on your business.

Preparing and Filing SEC Form D

Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) provides exemptions that permit a company to offer and sell its securities without complying with the registration statement requirements of the Securities Act if certain conditions are met.

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