SEC Awards Whistleblower a Bounty of More Than $37 Million
On July 26, 2024, the Securities and Exchange Commission (SEC) announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. The whistleblower persisted in reporting the… Read More
Attorney Mark Basile to Participate in Federal Enforcement Action SEC v. Carebourn Capital L.P. and Chip Alvin Rice
Over the past seven years or so, we’ve followed the Securities and Exchange Commission’s efforts to rein in the excesses of predatory lenders who purchase convertible notes, preferred stock, debt, and sometimes warrants from issuers desperate for the… Read More
Category: Blog Posts Tags: ADGO, Advantego Corp, AFPW, Alexander J Dillon, AlumiFuel Power Corp, Anthony LG, APPZ, Bergio International Inc, BlackOaks Capital LP, Booski Consulting LLC, Bravtek Solutions Inc, BRGO, broker-dealer, BVTK, Carebourn Capital, Carebourn Capital LP, Carebourn Partners LLC, CGAC, Chicago Venture Partners L.P., Chip Rice, Code Green Apparel Corp, Convertible Note, Convertible Notes, Cosmin I Panait, Dark Pulse Inc, DarkPulse Inc, DNRG, Dodd Frank Bounty, dodd-frank, Dominovas Energy Corp, DPLS, DRNK, Eric J. Benzenberg, Eventure Interactive Inc, EVTI, FastFunds Financial Corp, FDBL, Feltl & Company, FFFC, Fonu2 Inc, Form F-1, Form S-1, FPFI, Fresh Promise Foods Inc, Friendable Inc, FUNO, Going Public, GPL Management LLC, GPL Ventures LLC, GRAS, Greenfield Farms Food Inc, Groove Botanicals Inc, Growth Solutions Holdings, GRSO, GRVE, Iliad Research and Trading L.P., INND, Innerscope Hearing Technologies Inc, JDF Capital Inc, JMJ Financial, John Fierro, John Fife, Judge Katherine Menendez, Justin W Keener, Kelci Rice, KOAN, Labor Smart Inc, Logan Rice, LTNC, Mark Basile, Michael Wruck, Miller Johnson Steichen Kinnard Inc, Minnesota, Monster Arts Inc, More Capital LLC, More Capital Partners LP, Motion for Judgement on the Pleadings, Ngen Technologies Holdings Corp, NGRP, Noho Inc, Optec International Inc, OPTI, OTC Markets, Ozop Energy Solutions Inc, OZSC, Patten Energy Solutions Inc, Pazoo Inc, PEII, Penny stocks, Petron Energy II Inc, PETV, PetVivo Holdings Inc, Powerstorm Holdings Inc, PPCB, Propanc Health Group Corp, PSTO, PTTN, Public Company, public shell, PZOO, Resonate Blends Inc, Revolutions Medical Corp, RMCP, Rule 144 holding period, RVUE, Rvue Holdings Inc, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Section 15(a)(1), Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, St George Investments LLC, The Staffing Group Ltd, Tonaquint Inc, toxic financing, Toxic Lender, toxic lending, trading suspension, Typenex Co-Investment LLC, United States District Court, Unregistered Dealer, Wisdom Homes of America Inc, WOFA, Wowio Inc, WWIO, ZONX, Zonzia Media Inc
Andrew Left of Citron Research Indicted by the DOJ and Charged by the SEC
On July 26, 2024, the Securities and Exchange Commission announced litigation filed against activist short seller Andrew Left and his firm, Citron Capital LLC, for devising and executing a $20 million scheme to defraud retail investors who followed… Read More
Category: Blog Posts Tags: Andrew Left, Anson Advisors Inc, Anson Funds Management LP, Carson Block, Citron Capital LLC, Citron Capital LP, Citron Research, CNBC, County, CRON, Cronos Group Inc, Department of Justice, dodd-frank, Fast Money, FBI sting, FBI Undercover, FINRA Halt, fraud, IGC, Investor Loss, Investor Victims, Joshua Mitts, Muddy Waters, nasdaq, NXTTF, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, Penny stocks, ponzi scheme, pump and dump, Sarbanes-Oxley, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Halt, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Reporting Requirements, SEC Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, Short and Distort, Short Report, Short Seller, Shortselling, SPAC, stock manipulation, stock scheme, trading suspension, Wells Notice
Jury finds Guy Gentile liable as control person of SureTrader in SEC case
On Tuesday, July 2, 2024, after a ten-day trial, a jury in the United States District Court for the Southern District of Florida found Guy Gentile, the founder, owner, and CEO of MintBroker International, Ltd., f/k/a Swiss America Securities Ltd. and d/b/a SureTrader, a Bahamas-based broker-dealer, liable as a control person of SureTrader, which operated as a broker-dealer in the United States without being registered, in violation of the federal securities laws. The jury also found Guy Gentile liable for inducing SureTrader’s registration violations.
Category: Blog Posts Tags: Control Person Liability, County, dodd-frank, FBI sting, FBI Undercover, FINRA Halt, fraud, Guy Gentile, Investor Loss, Investor Victims, k SEC Action, MintBroker International, nasdaq, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, ponzi scheme, pump and dump, Sarbanes-Oxley, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Halt, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Reporting Requirements, SEC Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, SPAC, stock manipulation, stock scheme, SureTrader, Swiss America Securities Ltd, trading suspension, Wells Notice
Important Changes Are in Store for the SEC and Other Federal Agencies
Last week, the Supreme Court handed down two opinions that have the potential to limit the authority of the Securities and Exchange Commission in fundamental ways and to curtail, or at least redirect, its ability to discipline individuals… Read More
Category: Blog Posts Tags: County, dodd-frank, FBI sting, FBI Undercover, FINRA Halt, fraud, Investor Loss, Investor Victims, nasdaq, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, ponzi scheme, pump and dump, Sarbanes-Oxley, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Halt, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Reporting Requirements, SEC Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, SPAC, stock manipulation, stock scheme, trading suspension, Wells Notice
Does FINRA Rule 6490 Impact Going Public Transactions?
FINRA Rule 6490 has had an important impact on going public transactions specifically reverse mergers with public shell companies.
Category: Blog Posts Tags: Class of Securities, Direct Listing, Direct Listing Requirements, Direct Public Listing, Direct Public Offering, DPO, Exchange Act, FINRA 6490, FINRA Corporate Action Request, FINRA Rule 6490, Foreign Company, Foreign Issuer, Foreign Private Issuer, Form 10, Form 10 Attorney, Form 10 Attorneys, Form 10 Disclosures, Form 10 Effective, Form 10 Going Public, Form 10 Lawyer, Form 10 Lawyers, Form 10 Registration, Form 10 Registration Statement, Form 10 Shell, Form 10 Shell Company, Form 10-K, Form 10-Q, Form 10-Q Periodic Report, Form 8-A, Form 8-A registration statement, Form 8-K, Form F-1, Form F-1 Attorney, Form F-1 Attorneys, Form F-1 Capital, Form F-1 Capital Raise, Form F-1 Law Firm, Form F-1 Law Firms, Form F-1 Lawyer, Form F-1 lawyers, Form F-1 Offering, Form F-1 Prospectus, Form F-1 Quiet Period, Form F-1 Registered Offering, Form F-1 Registered Offerings, Form F-1 Registration Statement, Form F-1 Registration Statements, Form F-1 Resale, Form F-1 Resales, Form F-1 Selling Shareholder, Form F-1 Selling Shareholder Requirements, Form F-1 Selling Stockholder, Form F-1 Selling Stockholder Requirements, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form s-1 registration statement filing, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Direct, Go Public Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Law Firm, Going Public Lawyer, Going Public Lawyers, going public transactions, Listing, nasdaq, nyse, Periodic Reporting, Prospectus, Prospectus Requirements, Public, Public Company, Public Company Reporting Requirements, Register Securities, Registration Statement, Regulation S-K, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, S-1 Going Public, SEC Periodic Reporting, SEC Quiet Period, SEC Registration, SEC Registration Statement, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Section 12(b), Section 12(g), Section 16, Securities Act, Securities Attorney, Securities Exchange Act, Securities Exchange Act of 1934, Securities Lawyer, securities offerings
Benefits of Direct Public Offerings
While going public offers many benefits, it also comes with risks and a large number of regulations with which issuers must become familiar. Despite the risks, the U.S. capital markets remain one of the most attractive sources of… Read More
Category: Blog Posts Tags: Class of Securities, Direct Listing, Direct Listing Requirements, Direct Public Listing, Direct Public Offering, DPO, Exchange Act, Foreign Company, Foreign Issuer, Foreign Private Issuer, Form 10, Form 10 Attorney, Form 10 Attorneys, Form 10 Disclosures, Form 10 Effective, Form 10 Going Public, Form 10 Lawyer, Form 10 Lawyers, Form 10 Registration, Form 10 Registration Statement, Form 10 Shell, Form 10 Shell Company, Form 10-K, Form 10-Q, Form 10-Q Periodic Report, Form 8-A, Form 8-A registration statement, Form 8-K, Form F-1, Form F-1 Attorney, Form F-1 Attorneys, Form F-1 Capital, Form F-1 Capital Raise, Form F-1 Law Firm, Form F-1 Law Firms, Form F-1 Lawyer, Form F-1 lawyers, Form F-1 Offering, Form F-1 Prospectus, Form F-1 Quiet Period, Form F-1 Registered Offering, Form F-1 Registered Offerings, Form F-1 Registration Statement, Form F-1 Registration Statements, Form F-1 Resale, Form F-1 Resales, Form F-1 Selling Shareholder, Form F-1 Selling Shareholder Requirements, Form F-1 Selling Stockholder, Form F-1 Selling Stockholder Requirements, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Direct, Go Public Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Law Firm, Going Public Lawyer, Going Public Lawyers, Listing, nasdaq, nyse, Periodic Reporting, Prospectus, Prospectus Requirements, Public Company, Public Company Reporting Requirements, Register Securities, Registration Statement, Regulation S-K, S-1 Going Public, SEC Periodic Reporting, SEC Quiet Period, SEC Registration, SEC Registration Statement, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Section 12(b), Section 12(g), Section 16, Securities Act, Securities Attorney, Securities Exchange Act, Securities Exchange Act of 1934, Securities Lawyer
Xeriant, Inc. Fights Toxic Funder Auctus Fund in Appellate Court
Since 2017, the SEC has been bringing enforcement actions intended to curb the excesses of lenders who deal in convertible securities like promissory notes, preferred stock, warrants, debentures, and more. While the word “lenders” seems anodyne or even… Read More
Category: Blog Posts Tags: Adam Long, Adar Alef LLC, Adar Bays, Alexander J Dillon, Alfred Sollam, Alfred Sollami, Appeals Court, Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, BHP Capital NY Inc, broker-dealer, Bryan Pantofel, Carebourn Capital L.P., Chicago Venture Partners, Chip Alvin Rice, civil penalty, convertible note lender, Convertible Notes, convertible promissory note, Cosmin I Panait, Crownbridge Partners LLC, Custom Equity Research Partners LLC, Cyrus M Alphonse, David Foley, Dealer, Dilution Financing, Dilution Funder, disgorgement, District Court, Edward M Liceaga, Exchange Act Section 15(a), financing agreement, FINRA, GPL Management LLC, GPL Ventures, Ibrahim Almagarby, Iliad Research, Inc, JDF Capital, JMJ Financial, John Fierro, John Francis Forsythe III, John M. Fife, Joseph Lerman, Justin Keener, Justin W Keener, L.P., L2 Capita LLC, LG Funding LLC, Louis Posner, Microcap Equity Group LLC, microcap securities, Microcap Stock, Miles M Riccio, Morningview Financial LLC, NASD, Oasis Capital LLC, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Penny stocks, ponzi scheme, regulation, River North Equity LLC, Ronald E. Pipoly Jr, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, securities and exchange commission. toxic funder, Securities Attorney, Securities Fraud, Securities Law Defense, Sepas Ahdoot, Soheil Adhoot, South Street Capital Partners, stock scheme, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, toxic funding, Trading L.P., Tri-Bridge Ventures LLC, Typenex Co-Investment LLC, Unregistered Broker, Unregistered Dealer, XERI, Xeriant Inc
Meta Materials Executives, John Brda and George Palikaras, charged with Market Manipulation, Fraud and Other Violations
Thanks to an SEC Complaint filed today, MMTLP shareholders finally have the undisputable evidence needed to point their previously misguided blame for their massive losses at the proper culprits. For months after the Financial Industry Regulatory Authority (“FINRA“)… Read More
Category: Blog Posts Tags: congress, Daily List, Dividend, Edward Constantin, FINRA, Form 211, Gary Deel, Gary Gensler, George Palikaras, John Brda, Meta Materials, Meta Materials Inc, Metamaterial Technologies Inc, Metamaterials Inc, Mitchell Hennessey, MMAT, MMTLP, MOASS, Naked Shorts, NASD, nasdaq, Next Bridge, Next Bridge Hydrocarbons Inc, OTC Markets Group, PERRY MATLOCK, Robert W Cook, SEC, SEC Attorney, SEC Complaint, SEC filings, Securities and Exchange Commission, Series A Preferred, Short Selling, Shorty, Spin-Off, Stefan Hrvatin John Rybarcyzk, subpoena, Thomas Cooperman, Torchlight, Torchlight Energy, TRCH, Wells Notice
What are the SEC Reporting Requirements After My Form S-1 is Effective?
Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the company becomes subject to the SEC’s reporting requirements under the Securities Exchange Act of 1934. These rules require your company to file… Read More
Category: Blog Posts Tags: Form 10, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Lawyer, Going Public, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Prospectus, Prospectus Requirements, Regulation S-K, S-1 Going Public, SEC Quiet Period, SEC Reporting Obligations, SEC Reporting Requirements Selective Disclosure
Going Public Using an S-1
Using a Form S-1 Registration Statement to Go Public Private companies that go public commonly use a registration statement (“Registration Statement”) on Form S-1 under the Securities Act of 1933, as amended (the “Securities Act”) to go public…. Read More
Category: Blog Posts Tags: Direct Listing, Direct Listing Requirements, Direct Public Offering, Form 10, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Law Firm, Going Public Lawyer, Going Public Lawyers, Listing, Prospectus, Prospectus Requirements, Regulation S-K, S-1 Going Public, SEC Quiet Period, SEC Reporting Obligations, SEC Reporting Requirements
Court denies James L. Koutoulas’ petition to quash SEC subpoena
On May 23, 2024, the U.S. District Court for the Southern District of Florida granted the Securities and Exchange Commission’s (the “SEC“) application to enforce a subpoena for the production of documents to James L. Koutoulas (“Koutoulas ”)… Read More
Category: Blog Posts Tags: County, Division of Enforcement, dodd-frank, FBI sting, FBI Undercover, FINRA Halt, fraud, Investor Loss, Investor Victims, James L Koutoulas, Let's Go Brandon, LGBCoin, nasdaq, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, ponzi scheme, pump and dump, Sarbanes-Oxley, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC enforcement action, SEC Enforcment, SEC Fraud, SEC Halt, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Reporting Requirements, SEC Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, SPAC, stock manipulation, stock scheme, trading suspension, Wells Notice
Why use a Direct Public Offering (DPO) to Go Public on the OTC Markets
An Initial Public Offering or IPO is used by issuers seeking to go public using an underwriter. IPOs are typically conducted by issuers listing on the NYSE Stock Exchange (“NYSE”) or NASDAQ Stock Markets (“NASDAQ”). Issuers most often… Read More
Category: Blog Posts Tags: 10-K, 10-Q, 15c-211, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act
11th Circuit Upholds Unregistered Dealer Justin Keener SEC Judgment
On May 29, 2024, the U.S. Court Of Appeals for the Eleventh Circuit entered its Opinion in the Securities and Exchange Commission’s (“SEC“) case against Justin Keener dba JMJ Financial (together “Keener”), upholding the United States District Court… Read More
Category: Blog Posts Tags: Alexander J Dillon, Appeals Court, Carebourn Capital LP, Chicago Venture Partners LP, Chip Rice, civil penalty, Cosmin I Panait, disgorgement, District Court, Division of Enforcement, GPL Management LLC, GPL Ventures LLC, Ibrahim Almagarby, Iliad Research and Trading L.P., JDF Capital Inc, JMJ Financial, John Fierro, John M. Fife, Justin Keener, Microcap Equity Group LLC, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC enforcement action, SEC Enforcment, SEC Fraud, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Trading Suspension, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, St George Investments LLC, Tonaquint Inc, Toxic Lender, Typenex Co-Investment LLC, Unregistered Dealer
Tips For Going Public With A Direct Public Offering
More and more issuers going public opt for a direct public offering. Unlike an Initial Public Offering (IPO), in a direct public offering, the issuer sells shares of its stock directly to investors rather than through an underwriter. Going public transactions using a direct public… Read More
Category: Blog Posts Tags: Class of Securities, Direct Listing, Direct Listing Requirements, Direct Public Listing, Direct Public Offering, DPO, Exchange Act, Foreign Company, Foreign Issuer, Foreign Private Issuer, Form 10, Form 10 Attorney, Form 10 Attorneys, Form 10 Disclosures, Form 10 Effective, Form 10 Going Public, Form 10 Lawyer, Form 10 Lawyers, Form 10 Registration, Form 10 Registration Statement, Form 10 Shell, Form 10 Shell Company, Form 10-K, Form 10-Q, Form 10-Q Periodic Report, Form 8-A, Form 8-A registration statement, Form 8-K, Form F-1, Form F-1 Attorney, Form F-1 Attorneys, Form F-1 Capital, Form F-1 Capital Raise, Form F-1 Law Firm, Form F-1 Law Firms, Form F-1 Lawyer, Form F-1 lawyers, Form F-1 Offering, Form F-1 Prospectus, Form F-1 Quiet Period, Form F-1 Registered Offering, Form F-1 Registered Offerings, Form F-1 Registration Statement, Form F-1 Registration Statements, Form F-1 Resale, Form F-1 Resales, Form F-1 Selling Shareholder, Form F-1 Selling Shareholder Requirements, Form F-1 Selling Stockholder, Form F-1 Selling Stockholder Requirements, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Direct, Go Public Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Law Firm, Going Public Lawyer, Going Public Lawyers, Listing, nasdaq, nyse, Periodic Reporting, Prospectus, Prospectus Requirements, Public Company, Public Company Reporting Requirements, Register Securities, Registration Statement, Regulation S-K, S-1 Going Public, SEC Periodic Reporting, SEC Quiet Period, SEC Registration, SEC Registration Statement, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Section 12(b), Section 12(g), Section 16, Securities Act, Securities Attorney, Securities Exchange Act, Securities Exchange Act of 1934, Securities Lawyer
SEC Obtains $5.9 Million Judgment Against John Fierro in Unregistered Penny Stock Dealer Case
On May 21, 2024, Judge Georgette Castner of the United States District Court for the District of New Jersey entered a final judgment against John D. Fierro and JDF Capital, Inc. The SEC’s complaint alleged that the Defendants… Read More
Category: Blog Posts Tags: 5Barz International Inc, Adam Long, Adar Alef LLL, Adar Bays, Advanced Medical Isotope Inc., Alexander J Dillon, Alfred Sollami, Apptigo International Inc., Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, BHP Capital NY Inc, Black Stallion Oil & Gas Inc., Blue Water Global Group Inc., Borneo Resource Investments Ltd., broker-dealer, Bryan Pantofel, Carebourn Capital L.P., Chicago Venture Partners, Chip Alvin Rice, convertible note lender, convertible promissory note, Cosmin I Panait, Crownbridge Partners LLC, David Foley, Dealer, Diego Pellicer Worldwide Inc., Dilution Financing, Dilution Funder, Edward M Liceaga, Exchange Act Section 15(a), financing agreement, GPL Management LLC, GPL Ventures, Healthlynked Corp. Icon Vapor Inc., Ibrahim Almagarby, Iliad Research, Inc, JDF Capital, JMJ Financial, John Fierro, John Francis Forsythe III, John M. Fife, Joseph Lerman, Justin W Keener, L.P., L2 Capita LLC, LG Funding LLC, Lithium Exploration Group Inc, Louis Posner, Max Sound Corporation, Microcap Equity Group LLC, microcap securities, Microcap Stock, Miles M Riccio, ML Capital Group Inc., Morningview Financial LLC, Nano Movile Healthcare Inc., Nanotech Entertainment Inc., NewLead Holdings Ltd, Next Galaxy Corp., North American Cannabis Holdings Inc, Oasis Capital LLC, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Pocket Games Inc., ponzi scheme, regulation, River North Equity LLC, Ronald E. Pipoly Jr, Sanuwave Health Inc., SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, Securities Fraud, Securities Law Defense, Sepas Ahdoot, Soheil Adhoot, Solar Wind Energy Tower Inc., Solaris Power Cells Inc, Soupman Inc., Sparta Commercial Services, St George Investments LLC, stock scheme, Stragenics Inc., STW Resources Holding Corp., The Maryjane Group Inc., Tonaquint, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, toxic funding, Trading L.P., Tri-Bridge Ventures LLC, Typenex Co-Investment LLC, Well Power Inc.
Are You Ready? T+1 Trade Settlement Begins Next Week
On May 21, 2024, Securities and Exchange Commission Chair Gary Gensler formally announced the U.S. securities market’s switch to a T+1 standard settlement cycle. “T+1” means all trades in all U.S. markets will be settled the day after… Read More
Category: Blog Posts Tags: Birgitta Siegel, Broadridge Financial Solutions, Division of Enforcement, DTCC, FINRA, GameStop, Gary Gensler, GME, Greg Englebert, Hope Jarkowski, Jeffrey Davis, Keith Gill, meme stocks, naked shorting, New York Stock Exchange, NSCC, nyse, OTC Markets Group, Raging Kitty, SEC, SEC Action, SEC Enforcment, sec rules, Securities and Exchange Commission, Securities Attorney, securities market, settlements, short squeeze, SIFMA, stocks, T+0, T+3, T+4, T+5, T1, T2, U.S. Markets
PCAOB Imposes a $400,000 Fine and Sanctions MaloneBailey, LLP for Pervasive Quality Control Violations
Less than a month after one of the biggest auditing firms in the public markets, BF Borgers, and its owner, Benjamin Borgers, were permanently banned and fined a combined $14 million by the Securities and Exchange Commission (the… Read More
Category: Blog Posts Tags: Accounting Fraud, auditor, Benjamin Borgers, Benjamin F Borgers, BF Borgers, censor, CPA, crSecurities and Exchange Commission, deficient audits, DJT, Donald Trump, fines, India, Malone Bailey, MaloneBailey LLP, PCAOB, PCAOB Standards, permanent ban, Public Company Accounting Oversight Board, sanctions, SEC, SEC fine, SEC Order, Securities and Exchange Commission, Securities Attorney, sham audit mill, suspension, Trump Media & Technology Group Corp
SEC Issues BF Borgers Exemptive Order For SEC Reporting Companies
On May 20, 2024, the Securities and Exchange Commission (“SEC”) provided exemptive relief to certain SEC reporting companies affected by the SEC’s permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “BF Borgers”),… Read More
Category: Blog Posts Tags: Accounting Fraud, auditor, Benjamin Borgers, Benjamin F Borgers, BF Borgers, CPA, deficient audits, DJT, Donald Trump, India, PCAOB, PCAOB Standards, permanent ban, Public Company Accounting Oversight Board, SEC, SEC Action, SEC Division of Enforcement, SEC enforcement, SEC fine, SEC Order, Securities and Exchange Commission, Securities Attorney, sham audit mill, suspension, Trump Media & Technology Group Corp
CAT’s Cradle – Ongoing Problems with the SEC’s Consolidated Audit Trail
In July 2012, the SEC adopted a new Rule 613 under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 (“Exchange Act”). It would require national securities exchanges and national Self-Regulatory Organizations (“SROs’) “to act jointly in developing… Read More
Category: Blog Posts Tags: Accounting Fraud, Audit Trail, auditor, Ben Borgers, Benjamin Borgers, Benjamin F Borgers, BF Borgers, CPA, deficient audits, Division of Enforcement, Division of EnforcementPCAOB, DJT, Donald Trump, India, PCAOB Audit, PCAOB Standards, permanent ban, Public Company Accounting Oversight Board, SEC, SEC Action, SEC Enforcment, SEC fine, SEC Order, Securities and Exchange Commission, Securities Attorney, sham audit mill, suspension
Trump Media’s auditing firm, BF Borgers, busted for “massive fraud”
On May 3, 2024, the Securities and Exchange Commission announced an enforcement action against auditing firm BF Borgers CPA PC and its principal, Benjamin F. Borgers. The regulator charged the firm with “deliberate and systemic failures to comply… Read More
Category: Blog Posts Tags: Accounting Fraud, Andrew Northwall, Andy, Anton Postolnikov, auditor, Benjamin Borgers, Benjamin F Borgers, BF Borgers, Bo-Shiang Lien, Brady Jensen, Bruce Garelick, deficient audits, Devin Nunes, Digital World Acquisition Corp, Division of EnforcementCPA, DJT, Donald Trump, Donald Trump Jr., DWAC, Elon Musk, Eric Swider, Eric Trump, ES Family Trust, Gerald Svartsman, India, Kash Patel, Litinsky, Marcum LLP, Michael Svartsman, nasdaq, Patrick Orlando, Paxum Bank, PCAOB, PCAOB Standards, permanent ban, Public Company Accounting Oversight Board, Rocket One Capital LLC, Russia, Scott Glabe, SEC, SEC Action, SEC Enforcment, SEC fine, SEC Order, Securities and Exchange Commission, Securities Attorney, sham audit mill, Social Media, SPAC, suspension, The Apprentice, TMTG, Trump Media & Technology Group Corp, Truth Social, Twitter, UAV, United Atlantic Ventures LLC, Wes Moss
SEC permanently bans BF Borgers and its owner Benjamin Borgers and fines them a combined $14 million for accounting fraud
On May 3, 2024, the Securities and Exchange Commission (the “SEC“) charged audit firm BF Borgers and Its owner, Benjamin F. Borgers (together, “Respondents”), with Massive Fraud affecting more than 1,500 SEC filings. The SEC found that Borgers… Read More
Category: Blog Posts Tags: Accounting Fraud, auditor, Benjamin Borgers, Benjamin F Borgers, BF Borgy, CPA, deficient audits, Division of Enforcement, Division of EnforcementDJT, Donald Trump, India, PCAOB, PCAOB Standards, permanent ban, Public Compan Accounting Oversight Board, SEC, SEC Action, SEC Enforcment, SEC fine, SEC Order, Securities and Exchange Commission, Securities Attorney, sham audit mill, suspension, Trump Media & Technology Group Corpers
SEC Nails BF Borgers and Ben Borgers – Issuers Must Obtain New Auditors
On May 3, 2024, the Securities and Exchange Commission provided a statement for issuers impacted by its enforcement action against BF Bofgers CPA PC. According to the SEC Action against BF Borgers approximately 1,500 issuers used the services of BF Borgers for their audits.
Category: Blog Posts Tags: Accounting Fraud, auditor, Ben Borgers, Benjamin Borgers, Benjamin F Borgers, BF Borgers, CPA, deficient audits, Division of Enforcement, Division of EnforcementPCAOB, DJT, Donald Trump, India, PCAOB Audit, PCAOB Standards, permanent ban, Public Company Accounting Oversight Board, SEC, SEC Action, SEC Enforcment, SEC fine, SEC Order, Securities and Exchange Commission, Securities Attorney, sham audit mill, suspension, Trump Media & Technology Group Corp
SEC Charges Convertible Note Dealer Tri-Bridge Ventures, LLC and John Francis Forsythe, III for Failure to Register
On April 29, 2024, the Securities and Exchange Commission (the “SEC“) charged John Francis Forsythe, III (“Forsythe”), a resident of New Jersey, and Tri-Bridge Ventures, LLC (“Tri-Bridge”), an entity he owns and controls, with failing to register with… Read More
Category: Blog Posts Tags: 2050 Motors Inc (ETFM), Adam Long, Adar Alef LLC, Adar Bays LLC, Alexander J Dillon, Alfred Sollami, Alternative Energy Partners Inc (AEPT), Aluf Holdings, Aryeh Goldstein, Auctus Fund LLC, Auctus Fund Management LLC, Axxess Pharma, Bantec Inc (BANT), Bayport International Holdings Inc (BAYP), BHP Capital NY Inc, BitFrontier Capital Holdings (BFCH), Branded Legacy Inc (BLEG), Brewbilt Manufacturing Inc (BBRW), broker-dealer, Bryan Panofel, Bulova Technologies Group, Carebourn Capital LP, CD International Enterprises, Chicago Ventures Partners LP, Chip Alvin Rice, Convertible Note, Convertible Notes, Cosmin I Panait, Crednology Holding Corp (fka COHO), Crownbridge Partners LLC, Daniels Corporate Advisory Company, Digital Development Partners Inc (DGDM), Edward M Liceaga, Enviro-Serve Inc (EVSV), GD Entertainment & Technology Inc (GDET), George Investments LLC, Global Technologies Ltd (GTLL), GPL Management LLC, GPL Ventures, Grow Solutions Holdings Inc (GRSO), Hemp Naturals Inc (HPMM), HempAmericana Inc (HMPQ), Holiday Island Holding (HIHI), Ibrahim Almagarby, Iliad Research and Trading LP, Image Project Inc (IMTL), JMJ Financial, John Forsythe, John Francis Forsythe III, John M. Fife, Joseph Lerman, Jossef Kahlon, Justin W Keener, L2 Capital LLC, Las Vegas Railway Express, LG Funding LLC, LIG Assets, Livewire Energy Inc (LVVV), Louis Posner, Maptelligent Inc (MAPT), Michael James Enterprises Inc (MJTV), Microcap Equity Group LLC, Miles M Riccio, Morningview Financial LLC, Next Dynamics Inc (NEXD), No Border Inc (NBDR), Oasis Capital LLC, otc, Penny stocks, River North Equity LLC, Saddle Ranch Media Inc (SRMX), SEC, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Sepas Ahdoot, Signature Devices Inc (SDVI), Simlatus Corp (SIML), Sky440 Inc (SKYF), Smart Decision Inc (SDEC), Soheil Ahdoot, Square Chain Corp (SQCC), StrikeForce Inc (SFOR), The Movie Studio Inc (MVES), Tiger Reef Inc (TGRR), TJ Management Group LLC, Tonaquint Inc, Toxic Lender, Tri-Bridge Ventures LLC, Typenex Co-Investment LLC, Unregistered broker-dealer, Unregistered Dealer, Worldflix Inc (WRFX)
SEC obtains final judgment against relief defendant in George Stubos case
On April 15, 2024, the U.S. District Court for the Southern District of New York entered a final judgment against relief defendant Dori-Ann Stubos, ordering her to pay more than $2.3 million in disgorgement and prejudgment interest. In… Read More
Category: Blog Posts Tags: Canada, Commission, Courtney Kelln, Dori-Ann Stubos, ENCR, Ener-Core Inc, fraud, Frederick L Sharp, George Stubos, Homie Recipes Inc, James P Anglim, Morrie Tobin, paid promotion, Penny Stock, Petrosonic Energy Inc, PSON, Roger Knox, scam, SEC, SEC Attorney, Securities and Exchange, share selling scheme, Stevva Corp, stock manipulation, Stock Promotion, stock scam, STVA, Synergy CHC Corp, SYNR
What are SEC Periodic Reporting Requirements? Securities Lawyer 101
Companies become subject to the SEC’s periodic reporting requirements in several ways, including by filing a registration under the Securities Act of 1933, as amended or pursuant to the Securities Exchange Act of 1934. The SEC’s periodic reporting… Read More
Category: Blog Posts Tags: Class of Securities, Direct Public Listing, Direct Public Offering, DPO, Exchange Act, Form 10, Form 10 Attorney, Form 10 Attorneys, Form 10 Disclosures, Form 10 Effective, Form 10 Going Public, Form 10 Lawyer, Form 10 Lawyers, Form 10 Registration, Form 10 Registration Statement, Form 10 Shell, Form 10 Shell Company, Form 10-K, Form 10-Q, Form 10-Q Periodic Report, Form 8-A, Form 8-A registration statement, Form 8-K, Form S-1, Form S-1. Registration Statement, Go Public, Go Public Direct, Going Public, nasdaq, nyse, Periodic Reporting, Public Company, Public Company Reporting Requirements, Register Securities, Registration Statement, SEC Periodic Reporting, SEC Registration, SEC Registration Statement, SEC Reporting, SEC Reporting Requirements, Section 12(b), Section 12(g), Section 16, Securities Act, Securities Attorney, Securities Exchange Act, Securities Exchange Act of 1934, Securities Lawyer
Reg A+ Securities Offerings and FAST Act
Prospective For Underwriters & Broker-Dealers: Due Diligence Considerations Unlike traditional Initial Public Offerings (“IPOs”), there is no potential liability for issuers under Section 11 of the Securities Act in connection with Regulation A+ offerings. Sellers in Regulation A+… Read More
Category: Blog Posts Tags: Direct Listing, Direct Offering, Direct Public Offering, DTC chill, DTC Eligibility, DTC Global Lock, DTC Lock, Form 1-A, Form 1-A Offering Circular, Form 1-K, Form 1-K Annual Reports, Form 1-K Report, Form 1-SA, Form 1-SA Reports, Form 1-U, Form 1-U Report, Form 1-U Reporting, Form 1-Z Report, Form 10, Form 8-A, Form C-AR, Form F-1, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form s-1 registration statement filing, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Direct, Go Public Lawyer, Going Public, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, initial public offering, IPO, Ongoing Reporting, OTC Markets, Prospectus, Prospectus Requirements, Register Securities, Registration Statement, Regulation 1-SA, Regulation A, Regulation A Attorney, Regulation A Disclosures, Regulation A Filings, Regulation A Form 1-k, Regulation A Lawyer, Regulation A Reporting, Regulation A Reports, Regulation A Rule, Regulation D, Regulation S-K, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, Rule 504, Rule 504 Exemption, S-1 Offering, SEC Registration, SEC Registration Statement, SEC Reporting, SEC Reporting Requirement, SEC Reporting Requirements, SEC Reports, SEC Rule, SEC Temporary Rule, Section 12(b), Section 12(g), Securities Act, Securities Act of 1933, Securities Exchange Act, Securities Offering, securities offerings, Selling Stockholder Requirements, Semi-annual reports on Form 1-SA, tier 1, Tier 2
FORM S-1 REGISTRATION STATEMENTS – WHAT COMPANIES NEED TO KNOW ABOUT FORM S-1 & GOING PUBLIC
Form S-1 Benefits & Going Public When a company sells shares, the shares must be covered by an effective registration statement or exempt from the Securities & Exchange Commission’s registration statement requirements. Form S-1 is the most commonly… Read More
Category: Blog Posts Tags: broker-dealer, confidential, Confidential Form S-1, Confidential Registration Statement, Confidential Submission, Direct Listing Lawyer, Direct Public Offering, Direct S-1 Listing, DPO, Emerging Growth Company, Financial Industry Regulatory Authority, FINRA, Form 10, Form 10 Registration, Form 10 Registration Statement, Form F-1, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Going Public Law Firm, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registered Stock, Form s-1 registration statement filing, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Form S-2, Go Public, Go Public Attorney, Go Public Lawyer, Going Public, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, going public transactions, initial public offering, IPO, nasdaq, New York Stock Exchange, nyse, OTC Markets, OTC Markets Lawyer, Prospectus, Prospectus Requirements, Regulation C, Regulation S-K, Regulation S-X, S-1 Going Public, S-1 registration statement, SEC, SEC Comments, SEC Division of Corporation Finance, SEC Quiet Period, SEC Registration Statement, SEC Reporting Requirements, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, securities offerings, Underwriter, Underwriting
Investor Relations 101 – The Securities Laws & Stock Promotion
What Is Investor Relations? Investor relations or stock promotion involves disseminating information about a public company to increase its stock price and/or trading volume. The person who publishes this information is sometimes referred to as a “Stock Promoter”,… Read More
Category: Blog Posts Tags: 17-b, 17b, broker-dealer, Investor Relations, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, Penny Stock Scalping, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, Section 17(b), Stock Promoter, Stock Promoters, Stock Promotion, Stock Scalping, Unregistered broker-dealer
OTC Markets Group Guidance on Dilution Risk with Respect to OTCQX and OTCQB Applicants
OTC Markets offers three unique marketplaces for trading over-the-counter (OTC) stocks: the OTC Pink Market, the OTCQB Market and the OTCQX Market. The OTCQB Market and the OTCQX Market offer many benefits not offered by the OTC Pink… Read More
Category: Blog Posts Tags: 10-K, 10-Q, 15c-211, 15c2-11, attorney letter, beneficial owners, broker-dealer, confidential, Confidential Form S-1, convertible note lender, Dealer, Dilution Funder, Dilution Funding, Dilutive Financing, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Disclosure Statement, DPO, Edgar, Exchange Act, Financial Industry Regulatory Authority, Financial Statements, FINRA, Foreign Issuer, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 10-K, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form S-1 Registered Offering, Form S-1 Registered Stock, Form S-2, Form SEC, Go Public Direct, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, initial public offering, investors, IPO, Listing Fees, Market Maker, nasdaq, New York Stock Exchange, nyse, otc, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Applicants, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTC Pink Common Disclosure Issues, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTCQB, OTCQB applicants, OTCQB Standards, OTCQX, OTCQX applicants, OTCQX rules, Penny Stock, Pink Current, Pink Limited Information, Pink No Information, pink sheets, Public Company, Public Disclosures, Quotation, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Regulation C, Regulation S-K, Regulation S-X, Reporting Requirement, Reporting Requirements, Rule 12g3-2(b), Rule 15c2-11, S-1 registration statement, SEC, SEC Comments, SEC Division of Corporation Finance, SEC Effectiveness, SEC filer, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, Securities Exchange Commission, Toxic Convertible Note, toxic financier, toxic financing, Toxic Financings, toxic funding, Toxic Lender, toxic lending, Transfer Agent, Underwriter, Underwriting, Unregistered Dealer