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201503051400

Panelists: MICHAEL HOMEIER, JOHN TISHLER, ROBERT CORNISH, JULIAN MONTERO

SEC Rule 10b(5) makes it unlawful for any person, directly or indirectly, by use of any means to: 

  • Make any untrue statement of a material fact.
  • Omit to state a material fact necessary… to make statements… not misleading.
  • To engage in any act… which would operate as a fraud or deceit upon any person in connection with the purchase or sale of any security.
The way to protect your offering is with proper disclosures.
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