Going public can help companies raise vast sums of money in exchange for ownership of the actual company going public–through the sale of its equity securities. The only trouble is that the initial offering of these securities to the public, which is known as the initial public offering (IPO), can be quite complicated. Luckily, there…

In 2014, the SEC’s enforcement division brought 755 cases and collected an agency record $4.1 billion, Mary Jo White said at the Practicing Law Institute’s SEC Speaks conference. To put it in a year-over-year comparison, the SEC brought 686 enforcement actions in 2013, which resulted in $3.4 billion in disgorgement and penalties. Mary Jo White,…

Today (February 20, 2015) the Chair of the Securities and Exchange Commission (“SEC”) Mary Jo White gave her opening remarks at the annual “SEC Speaks” conference. Bloomberg summarizes her speech here. She outlined three main goals of rule making for 2015.  One of these goals was to “Facilitate capital formation for smaller issuers” (i.e., make…

Background In 2010, Congress passed the Dodd-Frank Act, which directs the Commission to issue rules requiring certain companies to disclose their use of conflict minerals if those minerals are “necessary to the functionality or production of a product” manufactured by those companies. Under the Act, those minerals include tantalum, tin, gold or tungsten. Congress enacted…

During the aftermath of the great recession, many companies have become delinquent in their periodic quarterly (“10-Q”) and annual (“10-K”) securities filings because they could not raise enough capital to pay the multitude of professionals involved with their public company reporting.  As many commentators have noted, the Securities and Exchange Commission (“SEC”) generally requires later…

Firms may regret their decision to hire finders that are not registered Broker-Dealers, or individuals that are not associated with registered Broker-Dealers, to connect them with potential investors. Section 15(a)(1) of the Securities and Exchange Act of 1934 states that non-registered persons who use any “instrumentality” to “induce” the purchase or sale of a security…

The National Law Review posted an article written about the Lyondell Shareholder Clawback Litigation.  The Bradshaw Law Group represents individual defendants in this matter for a low annual flat fee.  Contact Gil@bradshawlawgroup.com if you need representation in this lawsuit.   Attacking LBO (Leveraged Buyout) Payouts as State Law Fraudulent Transfers   The United States Bankruptcy…

The internal split over a loophole in the bankruptcy safe harbor provisions for capital market transactions deepens in the Southern District of New York. You may read about this topic at Mayer Brown’s website. The Bradshaw Law Group represents individual defendant creditors for a flat fee of $2,000 per year (including two days of hearings).  Contact…

Lyondell: Is the Safe Harbor Closed to Former Shareholders of LBOs (Leveraged Buyout)? In a recent decision by the United States Bankruptcy Court for the Southern District of New York, Weisfelner, v. Fund 1, et al. (In re Lyondell Chem. Co.), 2014 Bankr. LEXIS 159 (Bankr. S.D.N.Y. January 14, 2014), the Court determined, among other things, that Section 546(e)…

Former Lyondell shareholders may be set back by recent developments in the Lyondell bankruptcy case leaving Lyondell shareholders open to creditor fraudulent conveyance claims. Law360, New York (January 27, 2014, 1:17 PM ET).  Lisa Schweitzer writes, “On Jan. 14, 2014, the U.S. Bankruptcy Court for the Southern District of New York held that the Bankruptcy…

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