Tag Archives: MicroCap Lawyer

SEC Files Second Subpoena Enforcement Against MicroCap Attorney

  Last Friday, the SEC announced that it has filed a subpoena enforcement action against Andrew T.E. Coldicutt and the Law Offices of Andrew Coldicutt. According to the SEC’s application and supporting papers, filed on July 20, 2017 in the U.S. District Court for the Central District of California, the SEC is investigating, among other things, whether Coldicutt, or others associated with Green Cures

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SEC Bars MicroCap Attorney Who Committed Fraud

  Yesterday, the SEC barred a New York-based microcap attorney from appearing or practicing before it and acting as an officer or director of a public company after finding that he made false and misleading statements in corporate filings. The SEC’s order finds that David Lubin committed fraud while serving as a director and corporate counsel of Entertainment Art, a public company in which Lubin also

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OTC CEO’s: Want Respect? Then Pay Yourselves. [Guest Post]

Guest Post By: Mark R. Basile, Esq.  There are two sides to the position of OTC (microcap) CEO pay. Either you should have the privilege to work for free for shareholders and investors, or you can be a real professional and pay yourselves a reasonable salary. If you want to raise real money, pay yourself. I can’t begin to tell you

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An Overview of Finders’ Fees for MicroCap Professionals

  Finders’ fees are a constant point of confusion for microcap management teams. Securities attorney Laura Anthony an overview of “The Payment Of Finders’ Fees- An Ongoing Discussion” on her blog. In general, finders are still a very grey area of finance. Many agree that finders play an important role in helping small businesses source capital in situations too small for traditional broker-dealers.

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CEO’s of MicroCap Pubco’s: To Confess or Not to Confess (Judgments that is) [Guest Post]

Guest Post By: Mark R. Basile, Esq.    You put together this great company, you spend time and money developing products and services, you surround yourself with people who believe in you and what you are doing and you really want to be successful. Being a CEO is all about evaluating risk/reward. The greater the risk – the greater the reward,

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Tips For MicroCap CEOs Handling ‘Toxic’ Debt [Guest Post]

Guest Post By: Mark R. Basile, Esq. By the time small cap OTC/PINK SHEET Company CEO’s realize they can’t raise any more money, many try fighting an uphill battle, or simply close the doors. The ones most hurt by this are the shareholders. Toxic Convertible Debt, unless it’s managed correctly, could be the death knell of a company and it doesn’t matter

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