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Category Archives: Uncategorized

IS INSIDER TRADING WORTH THE RISK
March 7, 2022

The Securities and Exchange Commission (SEC) recently obtained a criminal conviction against a former Pharmaceutical [...]

Fiduciary Duties: Potential Reform?

A fiduciary is a person or entity that is required to act in the best [...]

28
Sep
15c2-11 Reforms – A New Era for OTC Securities

[...]

16
Sep
What is the SEC?

What is the SEC?  The SEC (Securities and Exchange Commission) is a large independent agency [...]

16
Aug
Parallax Charged for Misleading Information in an Attempt to Boost Stock Price

The SEC charged Parallax for releasing misleading information about its Covid-19 diagnostic product to boost [...]

12
Aug
SEC Charge Against GadGuido

SEC Charge Against GadGuido. On June 30, 2021, the Securities and Exchange Commission (the “SEC”) [...]

09
Aug
Can the SEC Investigate a Private Company?

[...]

09
Aug
What is the Investment Advisers Act of 1940?

[...]

06
Aug
Violating the Anti-touting Provision – The SEC charged UK Blotics

Violating the Anti-touting Provision.  On July 14th, the Securities and Exchange Commission (“SEC”) charged[1] Blotics [...]

05
Aug
Touted Real Estate Investor Charged with Unregistered Offering

The SEC Charged a Touted Real Estate Investor with Orchestrating Unregistered Offering with a Fraudulent [...]

02
Aug
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  • Home
  • Legal Team
    • Gilbert J. Bradshaw
    • Christopher A. Wilson
    • William L. Horn
    • Javiera Salmanca
  • Practice Areas
  • Flat Fee Pricing
    • Flat Fee Securities Compliance Program
    • IPO Attorney Fees
    • Private Placement Offerings
  • Contact Us
  • Securities Blog
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