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Auditor Market Share in Micro-Cap IPOs (Jan-Feb 2025)
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White Collar
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 ...
White Collar
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...
Securities
Four Crucial Implications of the SEC's Revised Beneficial-Ownership Regulations
Securities
Navigating the SEC’s Newly Introduced Regulations on Short-Selling: An In-Depth Analysis
White Collar
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...
White Collar
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...
White Collar
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...
White Collar
Navigating the Intersection of Cryptocurrency and Microcap Fraud Risks
The hype and volatility surrounding cryptocurrency markets increasingly creates opportunities for misconduct involving microcap stocks. Securities regulators are prioritizing enforcement at this da...
White Collar
Whistleblower Rights and Protections: Safeguarding Those Exposing Microcap and Small Cap Fraud
Robust whistleblower protections enacted over the last two decades exist to safeguard insiders or employees who courageously expose fraud or misconduct occurring within microcap and small capitaliz...
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