Archive for September, 2014

The Advent of Advertising and General Solicitation of Private Placements and the Disqualification of Certain Issuers

  • September 9th, 2014
  • Russell Weigel
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by Securities Lawyer: Russell C. Weigel, III September 23, 2013 is the day that securities issuers will be able to conduct general solicitation and advertising of private capital raises pursuant to new Regulation D Rule 506(c) (implementation of Title II…

Issuer Compliance Alert

  • September 9th, 2014
  • Russell Weigel
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by Securities Attorney: Russell C. Weigel, III Issuers contemplating a capital raise using the new exemptions from registration made available in the JOBS Act must be aware that with freedom comes responsibility. From a compliance perspective, of the various changes…

11th Circuit Court of Appeals Affirms Dismissal of Purported Pump and Dump Scheme

  • September 9th, 2014
  • Russell Weigel
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On May 22, 2014 the U.S. Eleventh Circuit Court of Appeals, in a fourteen page unpublished opinion, affirmed a district court’s dismissal of an amended complaint with prejudice. The plaintiff alleged claims for relief for sales of unregistered securities, securities…

Issuer Compliance Alert

  • September 9th, 2014
  • Russell Weigel
  • Comments Off on Issuer Compliance Alert

Issuers contemplating a capital raise using the new exemptions from registration made available in the JOBS Act must be aware that with freedom comes responsibility. From a compliance perspective, of the various changes to the offering process made available to…