Legal Question in Securities Law in Texas

S1 Application

Is it Fraudulent to knowingly file an S1

application to the SEC with false

information in it such as criminal cases

pending on its officers and non existent


Asked on 3/23/09, 10:11 am

1 Answer from Attorneys

Warren Markowitz Warren R. Markowitz, Esq

Re: S1 Application

The answer is simply YES.

The filing of false information is a violation of securities law, both state and federal.

If you are involved with such an offering I would bring it to the attention of counsel before things get out of hand.

My office handles such filings. If you wish to discuss the filing with me and how to handle the situation, please contact my office for a teleconference.

Good Luck,

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Answered on 3/23/09, 4:52 pm

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