The firm’s practice provides private and public companies with representation in various going public, securities related transactions, disclosure, general business transactions, and business law. Our services include Securities and Exchange Commission (SEC) disclosure and compliance, preparation and review of registration statements filed pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934, preparation and review of SEC periodic reports and filings, remedial and corrective SEC disclosure, Sarbanes-Oxley compliance and related corrective and remedial disclosure.
The firm is recognized for its experience in securities investigations including forensic analysis of securities transactions involving trading activity, short sales and securities transfers. The firm has participated in Dodd Frank matters and internal and corporate investigations of matters involving hundreds of publicly traded corporations with investor losses exceeding an estimated $500,000,000.
♦ Multiple domestic and international oil and gas issuers in connection with its registration statement filed with the SEC and subsequent SEC reports and filings.
♦ Domestic manufacturer of customized armor solutions for tactical and non-tactical transport vehicles, and construction equipment used by the military in connection with its private placement, and registration statement filed with the SEC.
♦ Multiple international and domestic gold, silver and copper mining companies in connection with their private and public offerings, SEC filings and reports, registration statements, corporate matters and going public transactions.
♦ Prescription drug manufacturer in connection with its private offering and its registration statement filed with the SEC.
♦ International hotel and entertainment center in connection with a registration statement filed with the SEC.
♦ Israeli telecommunications provider in connection with a registration statement filed with the SEC.
♦ Assisted a Greece based entity in its corss border purchase of securities.
♦ Application of a Chinese manufacturer for quotation filed with the FINRA.
♦ Alternative fuel company in connection with its registration statement with the SEC .
♦ Central American Mining company listing application for the Frankfurt Stock Exchange.
♦ Listing of an oil and gas company in connection with listing on the Frankfurt Stock Exchange.
♦ A European Alternative Energy Company in connection with a NYSE stock exchange listing.
♦ Russian manufacturer of consumer products in connection with its filing of a registration statement with the SEC and subsequent SEC reports and filings.
♦ Corporate internal investigation after a corporate hijacking which resulted in removal of the Board of Directors and shareholders regaining control of the issuer without litigation.
♦ Controlling shareholders in a dispute involving the hijacking of as multiple publicly traded companies, and/or ticker symbols which resulted in removal of the Board of Directors and legitimate shareholders regaining control of the corporate entity without litigation.
♦ Officer of public company in matter against an issuer, attorney and other securities professionals, based on firm involvement in an estimated $40,000,000 securities fraud by other issuer based upon fraudulent financial statement entries.
♦ A shareholder in a matter against an Issuer and other securities professional involving an estimated $32,000,000 securities fraud based upon non-disclosure of related party and unregistered securities violations.
♦ An entity in a matter involving an estimated $4,000,000 securities fraud based upon an alleged corporate hi-jacking by a transfer agent and its attorney.
♦ An individual in a Dodd Frank matter involving an issuer that inflated its stock price by touting fake treatments for diseases including diabetes, cancer and the HIV virus.
♦ An individual in a Dodd Frank matter involving a fraudulent reverse merger transaction which resulted in the loss of his patent and other intellectual property as well as assisted litigation counsel in regaining control of the patent and other intellectual property.
♦ Representation of an individual in a matter involving criminal and civil referrals under the Dodd Frank Act of attorneys and other individuals, who allegedly established a fictitious law firm to render legal opinions for publicly traded companies.
♦ An issuer, in an internal investigation after a corporate hijacking, criminal and SEC investigations, and related civil litigation. As part of the investigation, Ms. Hamilton reviewed thousands of documents and emails and interviewed witnesses. At the conclusion of the investigation, a corporate indictment and SEC action were avoided by the issuer.