IPO v Direct Listing Go Public Direct FAQ Q: How is going public with a direct listing to the NASDAQ Capital Market different than the traditional IPO listing to NASDAQ Capital Market? A: Both direct listings and Initial… Read More
Category: Blog Posts Tags: Direct Listing, Direct Public Offering, DPO, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 8-K, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Going Public Direct, initial public offering, IPO, nasdaq, Nasdaq Capital Market, nyse, OTC Markets, Periodic Reporting, Public Company, Registration Statement, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer, stock exchange
The SEC’s Office of Investor Education and Advocacy recently issued an Investor Bulletin to educate investors about investing in unregistered securities offerings, sometimes called private placements, under Regulation D of the Securities Act. Rule 506(b) and Rule 506(c) are… Read More
Category: Blog Posts Tags: Accredited Investor, Accredited Investors, Broker, Edgar, EDGAR system, exemption, federal securities laws, FINRA, Form D, investment, investor, investors, Non-Accredited Investor, offering, Offering Memorandum, offerings, PPM, Private Placement, Private Placement Memorandum, Public Company, registration, regulation, Regulation D, Rule 504, Rule 506, Rule 506(b), Rule 506(c), SEC Registration, SEC Rule, Section 4(a)(2), securities, Securities Act, Securities Fraud, securities law, Securities Laws, Securities Offering, securities offerings
On September 9, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against TBG Holdings Corporation (“TBG”), its principals Neil B. Swartz and Timothy S. Hart, and sales agents Ted L. Romeo, Vincent J. Caputo, and Frank… Read More
Category: Blog Posts Tags: 2DoTrade Inc, Frank S Dickerson, Kaya Holdings Inc, KAYS, Mark Swartz, MCG Partners Inc, MDXL, Medixall Group Inc, Neil B Swartz, Neil Swartz, Penny Stock, pump and dump, scam, SEC, SEC Charges, SEC Complaint, SEC enforcement, SEC enforcement action, Securities and Exchange Commission, Securities Fraud, TBG Holdings Corporation, Ted L Romeo, Timothy S Hart, Tyco International Inc, Unregistered broker-dealer, Vincent J Caputo
On September 20, 2022, the Securities and Exchange Commission (the “SEC”) charged recidivists Manhattan Transfer Registrar Company (“Manhattan Transfer”), a registered transfer agent based in Port Jefferson, New York, and its former principal, John C. Ahearn, a resident… Read More
On October 3, 2022, the SEC Division of Enforcement entered into a settlement of charges with Kimberly Kardashian (“Kardashian” or “Respondent”). The SEC Offer of Settlement (the “Offer”) includes findings that: On June 13, 2021, Kim Kardashian—a well-known… Read More
Category: Blog Posts Tags: coins, crypto, crypto currency, disgorgement, Division of Enforcement, EMAX, emax tokens, enforcement, ethereummax, federal securities laws, investors, Kim Kardashian, Kimberly Kardashian, SEC, SEC Charges, SEC Division of Enforcement, SEC enforcement, Section 17(b), securities, Securities Act, Securities Act Section 17(b), Securities Laws, Social Media, tokenomics, tokens
On Friday, September 2, the man who lived on the 18th floor of 56 Leonard Street in New York’s Tribeca district didn’t go to work or, perhaps, he came home very early. We know only that at about… Read More
Category: Blog Posts Tags: AMC, AMC Entertainment Holdings, APES, Avon, Bankruptcy, BBBY, Bed Bath & Beyond, Chewy Inc, CHWY, COVID, Expert Market, Form 3, GameStop, GME, Gustavo Arnal, Harriet Edelman, HODL, IPO, Jake Freeman, Jenga Building, JP Morgan Securities LLC, JPM, Laogai Research Foundation, lawsuit, Mark Tritton, nasdaq, New York, nyse, OTC Markets, Pengcheng Si, penny stocks meme stocks, Proctor & Gamble, RC Ventures, Reddit, Robinhood, rule 15c-211, Ryan Cohan, Schedule 13D, SEC, Securities Attorney, Simon Si, SPACs, Steven Temares, Volaris Capital, WallStreetBets, YOLO
The China Securities Regulatory Commission (CSRC) and U.S. Public Company Accounting Oversight Board (PCAOB) announced Friday that both sides signed an agreement to allow U.S. regulators to inspect the audits of Chinese companies whose stocks are traded on U.S…. Read More
Category: Blog Posts Tags: Aliaba, Alibaba, China Publicly Traded, China Securities Regulatory Commission, Chinese Issuer, CSRC, Foreign Issuer, Foreign Private Issuer, Form F-1 Registration Statement, Form S-1 Offering, Form S-1 Resale, Go Public, Going Public, Going Public Law Firm, HFCAA, nasdaq, NASDAQ stock market, New York Stock Exchange, nyse, PCAOB, SEC Attorney, SEC Lawyer, SEC Reporting, SEC Reporting Obligations, U.S. Public Company Accounting Oversight Board
On August 26, 2022, the Securities and Exchange Commission adopted two amendments to the rules governing its whistleblower program. The first rule change allows the Commission to pay whistleblowers for their information and assistance in connection with non-SEC… Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, 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, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, whistleblower
Over the past week, the Securities and Exchange Commission (the “SEC”) has initiated 26 new administrative proceedings against inactive SEC issuers, moving towards revoking the issuers’ securities registered pursuant to Section 12 of the Exchange Act. The 26… Read More
Category: Blog Posts Tags: 15c-211, Administrative Action, Administrative Order, administrative proceedings, Delinquent filer, Expert Market, Form 10, OTC Markets, OTC Markets disclosure requirements, Penny stocks, revocation, SEC, SEC Disclosure Requirements, SEC filer, SEC Reporting Requirements, Section 12 of the Exchange Act
Going public is still considered a benefit to issuers seeking to raise capital or obtain recognition of their business. Even in a down economy, private companies seek the perceived benefits of being publicly traded. While there are a… Read More
Category: Blog Posts Tags: Depository Trust Company, Direct Listing, Direct Public Offering, DPO, DTC, FINRA, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 211 and Amended 15c-211, Form 8-K, Form F-1, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Going Public Direct, Grey Sheets, initial public offering, IPO, Market Maker, nasdaq, Nasdaq Capital Market, nyse, OTC Markets, OTC Markets Pink, Periodic Reporting, Public Company, Registration Statement, Reverse Merger, rule 15c-211, SEC, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer, stock exchange, Underwriter, Unregistered Dealer, Unsolicited quotes
Since Baidu, Inc. (BIDU) completed its going public transaction in August 2005 on the NASDAQ Stock Market, many U.S. investors have found themselves fascinated and frustrated by Chinese companies. Baidu, a technology giant and AI developer offering, among… Read More
Category: Blog Posts Tags: Aliaba, China Publicly Traded, Chinese Issuer, Foreign Issuer, Foreign Private Issuer, Form F-1 Registration Statement, Form S-1 Offering, Form S-1 Resale, Go Public, Going Public, Going Public Law Firm, HFCAA, nasdaq, NASDAQ stock market, New York Stock Exchange, nyse, PCAOB, SEC Attorney, SEC Lawyer, SEC Reporting, SEC Reporting Obligations
On August 15, 2022, the Securities and Exchange Commission (the “SEC”) charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase… Read More
Category: Blog Posts Tags: Anna Tang, Avatele Group LLC, Breanne Wong, Catanga International S.A., Christophe Maerani, Christopher Smith, CMGO, Davies Wong, Distributions Bano, Dodd Frank Bounty, dodd-frank, Glenn B Laken, GMER, Good Gaming, Good Gaming Inc, H.E. Capital SA, hacking, Harmony Ridge Corp, Inc, Jason Black, Jeffery D Cox, LBTD, Lotus Bio-Technology Development Corp, Maximum Ventures Holdings LLC, Phillip Sewell, POP Holdings Ltd, Rahim Mohamed, Richard Smith, Richard Tang, Robert Seeley, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Unregistered Dealer, Zoltan Nagy
On August 10, 2022, the Securities and Exchange Commission (the “SEC”) charged broker-dealer Alpine Securities Corporation, its former Chief Executive Officer Christopher Doubek, and its current Chief Operations Officer Joseph Walsh with engaging in a series of unauthorized… Read More
Category: Blog Posts Tags: Alpine Securities Corporation, Christopher Doubek, Dodd Frank Bounty, dodd-frank, Financial Industry Regulatory Authority, FINRA, Joseph Walsh, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension
On September 15, 2021, the Securities and Exchange Commission (the “SEC”) charged Simon Piers Thurlow, Richard Oravec, Bryce Emory Boucher, attorney Roger Leon Fidler, and his son, Bradley Fidler, for fraud and illegally offering unregistered securities. The SEC… Read More
Category: Blog Posts Tags: Bradley Fidler, Bryce Emory Boucher, Dodd Frank Bounty, dodd-frank, Dolat Ventures Inc, DOLV, Going Public, JB&ZJMY Holding Company Inc, JBZY, Joseph D Jordan, Pivo Assoc. Inc, Richard Oravec, Roger Leon Fidler, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Simon Piers Thurlow, trading suspension, Unregistered Dealer, Western Bankers Capital Inc
August 2, 2022 — The Securities and Exchange Commission (the “SEC”) today announced settled charges against a convertible note dealer, Crown Bridge Partners, LLC, and its managing members, Soheil and Sepas Ahdoot of Great Neck, N.Y., for… Read More
Category: Blog Posts Tags: Crown Bridge Partners LLC, Dodd Frank Bounty, dodd-frank, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Sepas Ahdoot, Soheil Ahdoot, trading suspension, Unregistered Dealer
August 1, 2022 — The Securities and Exchange Commission (the “SEC”) today charged 11 individuals for their roles in creating and promoting Forsage, a fraudulent crypto pyramid and Ponzi scheme that raised more than $300 million from millions… Read More
Category: Blog Posts Tags: Alisha R Shepperd, Binance blockchains, Carlos L Martinez, Cheri Beth Bowen, cryptocurrency, Dodd Frank Bounty, dodd-frank, ethereum, Forsage, fraud, Lola Ferrari, Mark F Hamlin, Mikhail Sergeev, Philippines, ponzi scheme, pyramid scheme, Russia, Samuel D Ellis, Sarah L Theissen, scam, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Sergey Maslakov, trading suspension, Tron, Unregistered Dealer, Vladimir Okhotnikov
On June 27, 2022, the Securities and Exchange Commission (the “SEC”) charged Canadian citizen Bradley Moynes and Canadian corporation Digatrade Financial Corp. for engaging in a deceptive scheme involving microcap companies that generated more than $1.5 million in… Read More
Category: Blog Posts Tags: Bradley Moynes, Chester Alvarez, Colombia, DIGAF, Digatrade Financial Corp, Dodd Frank Bounty, dodd-frank, Formcap Corporation, Francis Biller, Frederick Sharp, FRMC, Luis Carrillo, Money Laundering, Raymond Dove, scam, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Vencap Ventures Inc
On June 30, 2022, the Securities and Exchange Commission (the “SEC”) filed fraud charges against Empires Consulting Corp (“EmpiresX”), its founders, Emerson Sousa Pires and Flavio Mendes Goncalves, and its head trader, Joshua David Nicholas, (collectively, the “Defendants”)… Read More
Category: Blog Posts Tags: Commodity Futures Trading Commission, crypto, CTC, Dodd Frank Bounty, dodd-frank, doj, Emerson Sousa Pires, Empires Consulting Corp, EmpiresX, Flavio Mendes Goncalves, Joshua David Nicholas, multi-level marketing, scam, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading bot, trading suspension, US Department of Justice
On June 7, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against LG Capital Funding, LLC (“LG Capital”) and its managing member Joseph Lerman of Brooklyn, New York, for failing to register as securities dealers with… Read More
Category: Blog Posts Tags: Alexander J Dillon, Carebourn Capital LP, Chicago Venture Partners LP, Chip Rice, Cosmin I Panait, GPL Management LLC, GPL Ventures LLC, Ibrahim Almagarby, Iliad Research and Trading L.P., JDF Capital Inc, JMJ Financial, John Fierro, John M. Fife, Joseph Lerman, Justin Keener, LG Capital Funding LLC, Microcap Equity Group LLC, SEC Action, SEC Administrative Proceeding, SEC Attorney, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, St George Investments LLC, Tonaquint Inc, Toxic Lender, Typenex Co-Investment LLC, Unregistered broker-dealer, Unregistered Dealer
On June 9, 2022, the Securities and Exchange Commission (the “SEC”) charged Trends Investments Inc. and five individuals, Clinton Greyling of Florida, Leslie Greyling (Clinton’s father, a resident of the United Kingdom), former Massachusetts resident Brandon Rossetti, Roger… Read More
Category: Blog Posts Tags: ABTI, Adiba Khalik, Adiba Rezaei, Alterola Biotech Inc, Anne M E Greyling, Brandon Rossetti, Bulls Run Investments Limited, Cennet Investments Limited, Clinton Greyling, Crystalmount Limited, Dheeraj Jain, Dodd Frank Bounty, dodd-frank, Domenic Calabrigo, E-Pawn.com, EPWN, Future Trends Ltd, Jeffrey D Martin, Lalit Kumar, Leslie Greyling, London Pharma Holdings Limited, Members Service Corp, MENC, Millennium Energy Corp, Nankalamu Martin, Norfolk Hights Ltd, Pacific Media Group Enterprises Inc, Peter Maddocks, Rajesh Taneja, Roger Bendelac, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Steve M Bajic, Thomas Capellini, TKCM, Token Communities Ltd, Total Investment Holding Ltd, trading suspension, Trends Investments Inc, Unregistered Dealer
On May 18, 2022, the US Court of Appeals for the Fifth Circuit in Jarkesy v. Securities and Exchange Commission held that the Securities and Exchange Commission’s administrative proceedings adjudicating securities is unconstitutional. On March 22, 2013, the SEC… Read More
On May 24, 2022, United States District Judge Katherine Menendez filed her Order in response to Carebourn Capital, L.P.’s Motion for Judgement on the Pleadings to dismiss the Securities and Exchange Commission (“SEC”) case filed against the penny… Read More
Category: Blog Posts Tags: broker-dealer, Carebourn Capital, Carebourn Capital LP, Carebourn Partners LLC, Chip Rice, Judge Katherine Menendez, Motion for Judgement on the Pleadings, OTC Markets, Penny stocks, SEC, Securities Attorney, Toxic Lender, United States District Court
On May 24, 2022, the Public Company Accounting Oversight Board (PCAOB) announced that it has sanctioned Bo-Shiang (“Eric”) Lien, a former audit director and non-equity partner at BF Borgers CPA PC, for violations of PCAOB rules and standards… Read More
Category: Blog Posts Tags: Accounting Fraud, BF Borgers, BF Borgers CPA PC, Bo-Shiang Lien, China Pharma Holdings Inc, Chineseinvestors.com Inc, Eric Lien, Financial Statements, OTC Markets, PCAOB, Penny stocks, Public Company Accounting Oversight Board, SEC, Securities Attorney, United Cannabis Corporation
On May 16, 2022, the Securities and Exchange Commission (the “SEC”) obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D…. Read More
Category: Blog Posts Tags: Brian K. Martinsen, Dodd Frank Bounty, dodd-frank, Eric D. Lachow, Form F-1, Form S-1, Francine A. Lanaia, Going Public, Michael A. Castillero, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, StraightPath Management LLC, StraightPath Venture Partners LLC, trading suspension, Unregistered Dealer
The OTC Markets OTCQX offers foreign issuers seeking to go public in the U.S. an appealing alternative to listing on a stock exchange. Foreign issuers whose securities are listed on a foreign stock exchange that qualify for the… Read More
Category: Blog Posts Tags: Dual Listing, Foreign Issuer, Going Public, listing requirements, OTC Markets, OTC Markets Dual List, OTCQX, OTCQX Attorneys, OTCQX Eligibility, OTCQX listing requirements, OTCQX Quotation, SEC, Securities Attorney
On Friday, May 12, 2022, the Securities and Exchange Commission announced that it obtained a final judgment against Canadian resident Frederick L. Sharp. In August 2021, the SEC charged Sharp with leading a fraudulent scheme that generated hundreds… Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, Frederick L Sharp, Frederick Sharp, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcemen, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension
On April 29, 2022, the Securities and Exchange Commission obtained a judgment against Shawn Hackman, who was previously disbarred by the State of Nevada and suspended by the SEC, ordering him to comply with the SEC’s suspension order… Read More
Category: Blog Posts Tags: attorney, box jobs, Daniel Chapman, Dodd Frank Bounty, dodd-frank, Elaine A Dowling Esq, Genovese, Harold P Gewerter Esq, Herbert Jacobi, James Farrell, Peter Berney, pump and dump, Robert Potter, scam, Sean Flanagan, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Shawn Hackman, shell hijacker, trading suspension, Unregistered Dealer
On May 4, 2022, the Securities and Exchange Commission (the “SEC”) filed a complaint alleging Michael Forster engaged in manipulative trading in connection with a microcap issuer he controlled, Cuba Beverage Company (CUBV), a purported energy drink company…. Read More
Category: Blog Posts Tags: County, dodd-frank, FBI sting, FBI Undercover, FINRA Halt, fraud, Investor Loss, Investor Victims, Michael Forster, nasdaq, nyse, Officer Director Bar, OTC Markets, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, ponzi scheme, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, 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, SPAC, stock manipulation, stock scheme, trading suspension, Wells Notice
OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) have an initial and ongoing $0.01 per share minimum bid price, submit an initial OTCQB application, pay annual fees, and submit… Read More
Category: Blog Posts Tags: 15c-211, beneficial owners, broker-dealer, Depository Trust Company, Direct Listing, Direct Public Offering, DPO, DTC, Edgar, FINRA, Foreign Issuer, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 211 and Amended 15c-211, Form 8-K, Form F-1, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Going Public Direct, Grey Sheets, initial public offering, IPO, Listing Fees, Market Maker, nasdaq, Nasdaq Capital Market, nyse, OTC Markets, OTC Markets Group, OTC Markets Pink, OTCQB, OTCQX, Penny Stock, Periodic Reporting, pink sheets, Public Company, Quotation, Registration Statement, Reporting Requirement, Reverse Merger, Rule 12g3-2(b), rule 15c-211, SEC, SEC filer, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Exchange Commission, Securities Lawyer, stock exchange, Transfer Agent, Underwriter, Unregistered Dealer, Unsolicited quotes
On April 27, 2022, the Securities and Exchange Commission charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management, LP (Archegos), with orchestrating a fraudulent scheme that resulted in billions of dollars in losses. The… Read More
Category: Blog Posts Tags: Archegos Capital Management LP, Bill Hwang, Commodity Futures Trading Commission, Dodd Frank Bounty, dodd-frank, margins, Patrick Halligan, Scott Becker, 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, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Sung Kook Hwang, trading suspension, US Attorneys Officer, William Tomita
