About Gilbert J. Bradshaw

Transactional attorney concentrating in securities and tax law

What is ESG Investing? ESG or environmental, social and (corporate) governance are non-financial factors an investor can use to examine a company’s sustainability performance and build a more socially responsible portfolio. There has been a significant shift towards sustainable investing with sustainable investments now at $4 trillion[1] and increasing actions towards decarbonatization. Here is a…

Reg A is a mini-initial public offering (“IPO”) because the requirements are more flexible than traditional IPOs since it requires less time and resources. Thus, Reg A can be a budget-friendly option for small to mid-sized companies trying to raise capital when selling securities.

Accredited investors must meet specific criteria outlined by the U.S. Securities and Exchange Commission

What are IPOs? What are IPOs – IPO stands for Initial Public Offering. This signifies a private corporation going through a stock distributing process to offer shares to the public. The shift from private to public is pivotal for many corporations and can reveal the value of the company to private investors.    What has…

The Nasdaq Stock Market requires its listed companies to meet certain standards that help ensure investor confidence in the listed companies.  These requirements are intended to promote transparency, company prosperity, shareholder value, access to the capital markets, and overall market stability.  They are also intended to guard against conflicts of interest, reduce fraud among public…

Rethinking Securities Law Our country’s current concerns in securities law addressed through books can be very insightful to legal professors, scholars, and counsel. Marc I. Steinberg has provided an in-depth analysis of our legal system over time, but his latest book comes with a more equipped understanding that opens up discussion on legal reform.  Marc…

Expanded Exemption from Registration with the SEC Are you a small company that operates under a plan to offer shares of your company’s stock, options, or other securities as payment to your employees, officers, directors, partners, trustees, consultants, and advisors? The Economic Growth, Regulatory Relief and Consumer Protection Act, Pub. L. 115-174, 132 Stat. 1296…

SEC Enforcement, is the price for SEC violations too high to be worthwhile? The Securities Act of 1933 and the Securities Exchange Act of 1934, with all of their amendments, give the Securities and Exchange Commission an arsenal of remedies, designed to teach violators the lesson that misuse of funds and deceptive accounting practices do…

The advancement of computer software has made data analytics a very powerful enforcement tool for the SEC.  Being able to research and extract details from a massive amount of data, then sorting, comparing, and analyzing it provides the SEC with valuable details that were previously unavailable because of being buried in the masses of irrelevant…

Before investing, knowing the identity and background of the person offering the security can be just as important as knowing the financial statistics of the company.  The SEC recently charged a convicted felon with “raising over $30 million from hundreds of investors in a fraudulent initial coin offering (ICO).”  The defendant “darkened his hair, grew…

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