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The Pre-IPO Company and “Failure to Launch” Claims | The D&O Diary

By Securities Docket on August 12, 2014, 9:33 am

… The favorable IPO environment has encouraged even more companies move toward an IPO. However, for a company starting down the road toward an IPO, there are a number of risks. Among other things, pre-IPO companies face increased risks of liability and claims, particularly when the planed IPO fails to launch. via The Pre-IPO Company […]

Posted in Industry, Top | Tagged IPOs

New York brokerage CEO criminally charged with obstructing SEC | Reuters

By Securities Docket on August 12, 2014, 9:30 am

The chief executive of a New York brokerage was criminally charged on Friday with lying to the U.S. Securities and Exchange Commission and faking documents to disguise how his firm did not have enough capital. Charles Moore, 62, was arrested Friday morning at the offices of his firm, Crucible Capital Group Inc, in downtown Manhattan, […]

Posted in Criminal, Top | Tagged Obstruction