Welcome to our Securities Law Blog. The Bradshaw Law Group focuses on all aspects of the issuance of securities and the practice of securities law and periodic reporting required by the Securities & Exchange Commission.

The Securities Law Blog focuses on many topics, including:

  • Taking Your Company Public
  • Drafting Form 10, S-1, S-3, and S-8 Registration Statements
  • Conducting Reverse Mergers
  • Structuring Registered Public Offerings
  • Maintaining Compliance with the Over-the-Counter Markets such as OTCBB, OTCQB and OTCQX
  • Maintaining Compliance with NASDAQ, and the New York Stock Exchange
  • Maintaining Compliance with FINRA, the SEC and DTC
  • Drafting Private Placement Memoranda
  • Fulfilling the Reporting Requirements of the Securities & Exchange Commission (SEC)
  • 1934 Act Reporting Requirements
  • Satisfying the Current Information Reporting Requirements of OTCMarkets.com
  • Operating as Ongoing public companies to Small and Mid-Size Public Issuers, Private Companies Going Public, Officers, Directors and Shareholders of Publicly-Traded Companies
  • Public companies going private
  • Title III Crowdfunding
  • Regulation D private placements
  • Mergers & Acquisitions

The Bradshaw Law Group is a boutique corporate and securities law firm with offices in New York City and Irvine, California.  Our experience in working with small to mid-size publicly traded companies is only exceeded by our ability to adapt. As the economic and regulatory landscape changes, we do as well. Our securities law firm is constantly evolving in order to stay abreast of regulatory changes and trends in the industry. The corporate finance landscape is perpetually changing and our securities attorneys adapt just as quickly. We provide our valued clientele with the most cutting edge corporate legal services at all times.

As a business law firm, we devote our practice to providing quality, efficient and cost-effective services for both entrepreneurs and startups as well as established companies. Our legal team is well-versed in all aspects of business formation and transactions, including mergers and acquisitions and venture capital transactions. We also provide guidance on the complex application of securities law and regulatory compliance. This Securities Law Blog is updated with posts by our attorneys and staff highlighting changes in the area of Securities Law.  Keep an eye on our securities law blog to stay up to date!

 

 

9.5Gilbert Bradshaw

Failing to Register as a Broker-Dealer On June 29, 2021, the Securities and Exchange Commission (“SEC”) charged[1] Neovest (“Neovest”) Inc. for failing to register with the SEC as a broker-dealer. While Neovest circumvented the related regulations broker-dealers must conform to, it replicated confidential and sensitive information of its customer to a third party without any…

AFWL Charged for Foreign Bribery and Violating the Books and Record Provision. On Jun 25, 2021, the Securities and Exchange Commission (“SEC”) charged[1] Amec Foster Wheeler Limited (AFWL) for bribing officials at a Brazilian state-owned oil company Petrobras to obtain a contract from which AFWL unjustly profited approximately $17.6 million. AFWL also violated the book…

Companies acquire, or merge with, other companies for a variety of reasons, namely: to create economies of scale/scope and cost/revenue synergies, to acquire promising technology or other intellectual property or intangibles, to capture more market share, to diversify a business portfolio, or to create tax benefits (such as acquiring net operating losses to carry forward…

Fraudulent Cherry-picking.  On Jun 17th, 2021, the Securities and Exchange Commission (“SEC”) charged[1] Ramiro Jose Sugranes, a licensed financial adviser who had been in the financial market for over twenty years, for fraudulent cherry-picking.  What Is Cherry Picking? According to Investopedia cherry picking is the process of choosing investments and trades by following other investors…

Raising Capital Properly – A Case Study   On June 29, 2021, the Securities and Exchange Commission (“SEC”) charged Matthew J. Skinner (“Skinner”) of Santa Clarita, California, and five entities he owns and controls, for conducting four unregistered and fraudulent real estate investment offerings between 2015 and 2020.  In these offerings, Skinner raised more than…

Investor Disclosure Laws – A Case Study On May 3, 2021, the Securities and Exchange Commission (“SEC”) charged Under Armour Inc. with “misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning its future revenue prospects.”  In 2015 and 2016, Under Armour engaged in what is known as…

Didi Inc., a Chinese version of Uber, was listed on NYSE (DIDI) on June 30, the day before the Chinese Communist Party’s Founding Day celebration and four days before the United States’ Independence Day. Didi planned to raise approximately $4.4 to $4.9 billion from its IPO, offering 318,000,000 ADSs[1] priced at $14 per share. The…

On June 15th, the Securities and Exchange Commission (SEC) charged[1] six individuals for trading on two Silicon Valley Companies’ non-public information and illicitly profiting over $1.7 million. Nathaniel Brown was a senior revenue manager at Infinera Corporation (Infinera) and Marcus Bannon a major account manager at Fortinet, Inc. They repeatedly provided confidential information that impacted…

On June 22, 2021, the Securities and Exchange Commission (“SEC”) charged[1] Loci Inc. (“Loci”) and its CEO John Wise for raising over $7.6 million from an unregistered Initial Coin Offering (ICO) of LOCIcoin. Among the capital raised from the ICO, Loci illicitly misappropriated approximately $38,000 for his personal use. The defendants also violated the antifraud…

On June 15th, 2021, the Securities and Exchange Commission (“SEC”) charged First American Financial Corporation, a real estate financing service company headquartered in California for violating policies regarding procedure control of cybersecurity vulnerability. First American is a publicly traded company registered with the SEC under Section 12 (b) of the Exchange Act, and it agreed…

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