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Auditor Market Share in Micro-Cap IPOs (Jan-Feb 2025)
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Defending Accountants and Auditors in SEC Rule 102(e) Actions: In-Depth Guide for Counsel
Allegations of engaging in improper professional conduct or violating professional standards may prompt the Securities and Exchange Commission (SEC) to institute disciplinary proceedings against ac...
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SEC Enforcement Spotlight on Inadequate Executive Perquisites Disclosures: Risk Mitigation Strategies for Public Companies
The Securities and Exchange Commission (SEC) closely scrutinizes the nature and extent of executive officer perquisites and personal benefits disclosed by public companies in annual proxy materials...
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Unregistered Finders in Microcap Private Placements
Hiring unregistered finders to solicit investors or facilitate private placement transactions carries major legal risks for microcap companies needing to raise capital. Avoiding violations requires...
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Avoiding Trouble: Proper Disclosure of Beneficial Owners and Executive Officers at Microcaps
Failing to properly disclose accumulating beneficial ownership exceeding 5% and concealing the identity of true executive officers guiding corporate strategy poses substantial regulatory risks for ...
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SEC Subpoenas in Microcap Investigations: Promptly Engaging Experienced Counsel is Critical
Receiving a subpoena from the Securities and Exchange Commission can be an unnerving and jarring event for microcap companies and their executives. However, it is important to keep in mind that whi...
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SEC Whistleblower Scrutiny Expands to Employment Agreements: Is Your Company at Risk?
The Securities and Exchange Commission (SEC) is taking a renewed interest in employment and separation agreements that could discourage whistleblowing. In September 2023, the SEC announced enforcem...
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Misleading Press Releases and Market Hype: Verifying Claims and Avoiding Microcap Fraud
The dissemination of false, misleading or improperly exaggerated press releases remains a pervasive problem in the microcap stock markets. Savvy investors must watch for "red flags" revealing unrel...
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This Week In Securities Litigation
Two weeks ago, the Securities and Exchange Commission (SEC) initiated an eye-popping 50-plus new enforcement actions. In stark contrast, last week saw only three such actions. Although the quantity...
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