Skip to content
  • HOME
  • SUBSCRIPTIONS
  • EVENTS
  • WEBINARS
  • EVENTS ON DEMAND
  • START TRIAL
  • ABOUT GROWTH CAPITALIST
  •
  • Growth Capitalist
  • Growth Capitalist
  • PREMIUM
  • NEWS
  • MARKETS
  • LEGAL
  • EXECUTIVE MOVES
  • VIEWS
  • ALPHABASE
  • Global Navigation
    • HOME
    • SUBSCRIPTIONS
    • EVENTS
    • WEBINARS
    • EVENTS ON DEMAND
    • START TRIAL
    • ABOUT GROWTH CAPITALIST

Growth Capitalist News and Analysis of Emerging Growth Company Finance

Growth Capitalist (https://growthcapitalist.com/category/premium-articles/legal/page/19/)

  • PREMIUM
  • NEWS
  • MARKETS
  • LEGAL
  • EXECUTIVE MOVES
  • VIEWS
  • ALPHABASE
Subscribe

Legal

Legal developments affecting capital formation by pre-IPO private and public emerging growth companies

  • Related Topics:
  • Enforcement
  • regulation
  • Reg A
  • JOBS Act
  • China
Sands Bros Asset Mgt
Legal

SEC Seeks More Penalties after Sands Brothers Violates Settlement

By Teri Buhl | November 5, 2014

Sands Brothers Asset Management (SBAM) has ignored conditions of a Securities and Exchange Commission settlement from 2010 and has once again been fined by the regulator.

Kenneth Eade
Legal

Penny Stock Attorney Eade Banned by the SEC

By Teri Buhl | November 5, 2014

A California attorney with a history of working with emerging growth companies has been banned by the Securities and Exchange Commission.

SEC
Legal

Accredited Investor Status: Will the Sparks to Redefine It Finally Ignite?

By Judy Radler Cohen | October 22, 2014

If you’re an accredited investor or an adviser to that community take note—the Securities and Exchange Commission’s demarcation of your status is poised change very soon.

MHCC
Legal

Investors Battle Healthcare Equipment Issuer to Convert Warrants

By Teri Buhl | October 22, 2014

A company that sells medical equipment is refusing to honor a contract with a group of institutional investors who are trying to execute their cashless warrants for unrestricted common stock.

Load more posts

Recent Filings

  • 1-U – StreamNet, Inc. (0001681343) (Filer)
  • 1-A/A – Nowigence Inc. (0001761911) (Filer)
  • 1-A/A – UMBRA Technologies (US) Inc. (0001742808) (Filer)
  • 1-U – TRUE LEAF MEDICINE INTERNATIONAL LTD. (0001698370) (Filer)
  • 1-A/A – Contact Gold Corp. (0001759352) (Filer)
  • 1-A – DPW Holdings, Inc. (0000896493) (Filer)
  • 1-A/A – Fundrise Growth eREIT 2019, LLC (0001768726) (Filer)
  • 1-A/A – Fundrise Income eREIT 2019, LLC (0001768760) (Filer)

Recent Stories

  • FAT Brands Starts Strong on Nasdaq

    On a side street off Times Square brokers and traders lined up earlier this week for a rare treat outside of Nasdaq’s Manhattan market center: free Fatburgers. Mark Elenowitz, the investment banker behind the $24 million Regulation A capital raise of FAT Brands, was glowing with pride. FAT Brands opening IPO day was here and market interest had driven the stock to open above the $12 Reg A offer price. The first trade sold at $12.80 and the stock soared to $13.99 in the morning hours. Elenowitz and his team at Tripoint Global Equities had worked all weekend to ensure the 2 million shares sold cleared the DTC (Depository Trust Company) and the hundreds of retail investors who bought stock through Tripoint’s online crowdfunding portal, BANQ, had their shares in their retail accounts available to trade immediately. FAT Brands is controlled by Andy Wiederhorn, head of the investment firm Fog Cutter Capital Group. The Southern California burger joint Fatburger, often touted by Hollywood celebrities, was started by Lovie Yancey and Charles Simpson. Yancey first opened a three-seater burger stand in the late 1940s in front of her house in South Central Los Angeles. FAT Brands, which stands for Fresh-Authentic-Tasty, owns multiple franchise chains focused on American food served in a fast casual setting. Fatburger is a 65-year-old company fashioned as a self-serve burger joint that competes with In-n-Out and Shake Shack (SHAK). Buffalo’s Café was founded in Roswell, Ga. in 1985, and is known for its chicken wings with 13 different sauces. And the company’s newest acquisition, Ponderosa and Bonanza Steakhouse, is a chain started in 1963 by Dan Blocker, who was known for his role as Hoss Cartwright in the TV western series Bonanza. CLICK HEADLINE FOR MORE>>

  • Reverse Merger Attorney Ofsink Pleads Guilty in Pump-and-Dump Scheme

    New York securities attorney Darren Ofsink, once an active adviser to emerging growth companies seeking to go public through reverse mergers, pleaded guilty on Oct. 18 to one charge of conspiracy to commit securities fraud, for his role in the $86 million manipulation scheme of CodeSmart Holdings (ITEN).

  • FAT Brands
    FAT Brands Readies Close of $24M APO

    Fast-casual dining franchise company FAT Brands expects to close it’s $24 million Reg A offering as soon as Oct. 20, according to company insiders. The quick closing follows reports that the company attracted millions of committed capital on its first day after the Securities and Exchange Commission qualified the offering on October 3. The owner of Fatburger and Buffalo’s Café is selling two million shares at $12, with a minimum investment of $500, from institutional and retail investors. The deal is being sold by Tripoint Global Securities as the exclusive bookrunner.

  • Zacks Small Cap Research Head and Banker Charged with Insider Trading

    The broker-dealer division of Chicago-based Zacks Investment Research, has been charged by the Securities and Exchange Commission for failure to supervise staff who traded on non-public material information. The action is a blow to the nascent Reg A research market, where Zacks has been the first and only traditional sell-side broker to offer equity research on Reg A issuers.

  • Arcimoto IPO
    Arcimoto’s Fast Close and Listing a Roadmap for Reg A+ Market

    The recent successful Reg A+ offering and immediate Nasdaq listing by an electric utility vehicle startup offers a roadmap for other issuers seeking a quick path to public capital and trading liquidity.

  • Arcimoto
    Second Ultra-light Carmaker Seeks to Tap Reg A Market

    An Oregon-based concept car company has been qualified by the Securities and Exchange Commission to raise $29.9 million through a Tier 2 Regulation A offering. Arcimoto is selling 4,600,000 shares at $6.50 through an exclusive underwriting agreement with WR Hambrecht + Co. The company plans to list on Nasdaq’s Capital Market.

Growth Capitalist publishes news and analysis of the markets for emerging growth company investment and finance. Our analysts and correspondents provide news coverage and research on public and private investment in pre-IPO and public reporting high-growth companies valued under $1 billion, via PIPEs, Reg A, Reg D, self-directed IPOs and other alternative offerings.

Follow Us

  • Growth Capitalist
  • REGISTER FOR TRIAL
  • SUBSCRIBE
  • MEMBER LOGIN
  • ARCHIVE
  • PRIVACY POLICY
  • MARKETNEXUS MEDIA

Search

Article Archive

© Copyright 2025, Growth Capitalist

Back to top ↑

Close
loading...