By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of February saw a total of five companies uplist from the OTC onto national securities exchanges. One of these companies operates in the medical devices industry, two operate in the energy sector, one operates in the consumer products industry, while another is in the cannabis industry. Below is a
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By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP Because the month of January was marred by the federal government shutdown, we only saw one company uplist from the OTC Pink onto a national securities exchange. This is the least amount of uplists in a calendar month in quite some time. Below is a brief description of this company and
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MicroCap Attorneys are not only an important part of a small public companies regulatory success but also their overall success. From helping navigate the microcap financing minefield to making sure companies meet their regulatory requirements, a good microcap attorney can be the difference between success and failure for issuers. Because hiring a microcap attorney is so vitally important to a
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By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of December saw a total of five companies uplist from the OTCQB onto national securities exchanges. Below are brief descriptions of these companies and selected information and observations of the paths these companies pursued from the OTC to a senior exchange. For more information about the uplisting process, or
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By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of November saw a total of four companies uplist from the OTCQB and OTCQX onto national securities exchanges. Below are brief descriptions of these companies and selected information and observations of the paths these companies pursued. For more information about the uplisting process, or any other questions or analysis,
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By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP While the month of September 2018 saw four companies migrate from the OTCQX, OTCQB and OTC Pink onto national securities exchanges, October 2018 was a slower month for uplists with only one company migrating from the OTCQX to the NYSE. In September of 2018, two of those companies were small-cap companies
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We are proud to announce that SEC Law Firm has joined us as the Official Founding Law Firm Sponsor of PubCoCEO™. SEC Law Firm represents growing businesses around the world raising capital in the US, through private and public offerings of equity and debt. They take companies public in the US and on overseas exchanges through reverse mergers, direct public
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David Feldman, partner in the international law firm of Duane Morris LLP, joins us to discuss his new book – “Regulation A+ and Other Alternatives to a Traditional IPO: Financing Your Growth Business Following the JOBS Act.”
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On Wednesday, the Securities and Exchange Commission charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank check” companies secretly bound for reverse mergers. In complaints filed in the U.S. District Court for the Southern District of Florida, the SEC alleges that James M. Schneider of Hillsboro Beach, Florida, and Andrew H. Wilson of Nevada City,
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Again, a lot of this goes back to the root of all microcap evil, toxic lending, irrevocable transfer agent letters and your transfer agency agreements. Recently, I spoke with a CEO who wanted to terminate his company’s transfer agent because the transfer agent refused to follow his instructions as well as the T/A providing confidential information to third parties without consent of the client, and in all likelihood, breaching the non-disclosure clauses in their own transfer agency contracts.
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