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SEC Rule 10b-5 l Securities Lawyer 101

SEC Rule 10b-5 is the primary anti-fraud provision of the federal securities laws. It was adopted pursuant to Section 10(b) of the Securities Exchange Act of 1934 (“1934 Act”), as amended and is the primary rule used in securities… Read More

Category: Going Public

The Securities Laws That Apply to Crowdfunding – Rules and Regulations

If you intend to raise money using the regulations for crowdfunding or take your company public, you will need to understand how the SEC’s registration statement requirements work, and how you may be able to raise money from the correct application of federal and state exemptions from registration. Crowdfunding is the solution…

Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers

A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling…

Category: Blog Posts Tags: Reg SHO, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Regulation SHO, Rule 15c2-11, Rule 204T, SEC, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act, Securities and Exchange Commission, Securities Attorney, Short Sale, Short Seller, Short Selling, short squeeze

When Private Placements Go Public – Rule 506-c Attorneys

Rule 506 of Regulation D of the Securities Act of 1933 provides a private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to going public.

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

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

Ross Mandell Begins a New Life

Ross Mandell, a former broker and the owner of Sky Capital LLC and Sky Capital Holdings Ltd. was released from federal home confinement in early January of this year. He isn’t letting grass grow under his feet: he… Read More

Category: Blog Posts Tags: 2255 motion, 60b, Adam Harrington, appeal, doj, fbi, foia, jeffrey hoffman, Judge Otazo-Reyes, Judge Paul Crotty, Paul Crotty, podcast, public speaking, ross mandell, ross mandell indictment, Ross Mandell Prison, rossmandell.com, SEC, SEC Action, Securities Fraud, Sky Capital, Sky Capital Holdings Ltd, Sky Capital LLC, steve altman, US Attorney

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

SEC Obtains Final Judgment Against Kevin Dills – Joseph Padilla Sentenced in Criminal Case

On March 19, 2024, the U.S. District Court for the District of Massachusetts entered final judgments against California resident Kevin C. Dills and two entities that Dills controlled, Bright Star International, Inc. and Life Sciences Journeys, Inc. In… Read More

Category: Blog Posts Tags: 12 Retech Corp, 1st Prestige Wealth Management, Aladdin Trading & Company, ALDI, Andrea Ritchie, Angelo R. Panetta, Arlene Sandoval, arrest, Ashley Robinson, Barry Grinberg, BIIO, Bionovate Technologies Group Inc, Bioscience Neautroceuticals Inc, Boiler Room, Bradley Moynes, Bright Star International Inc, broker-dealer, Carlos Hernandez, Carlsbad, Cayman Islands, cbd, CGS International, Chad P. Smanjak, Charlestowne Premium Beverages Inc, Chester Alvarez, College Admissions Scandal, cooperating witness, Country Line Energy Corp, Courtney Kelin, criminal charges, cross trading, Curacao, CYLC, Daniel E. Ruettiger, DEVV, Digatrade Financial Corp, doj, Douglas Roe, EHDN, eHolding Technologies, Empire Financial Group Inc, Evergreen Solutions Ltd, fbi, Financials Worldwide Inc, FINRA, First Pet Life Inc, FPLF, FPWM, Francis Biller, fraud, Frederick L Sharp, Frederick Sharp, Gary J. Yocom, GBX International Group, Germany, Gregg Mulholland, Homie Recipes Inc, Hong Kong, Human Data AG, Hungary, illegal stock sales, Inc, Indictment, James P Anglim, Jamie Quick, Jonathan Leinwand, Joseph A Padilla, Joseph Padilla, Kelly Warawa, Kevin C Dills, Kevin Dills, Kevin Quinn, Kevin S. Kaplan, lev Parnes, Life Sciences Journeys Inc, Luis Carillo, Luis Carrillo, Market Maker, Martin Ustin, Mehmet Mustafoglu, Mexico, Michael Luckhoo-Bouche, Mike Veldhuis, Militza Miro de Torm, Morrie Tobin, National Advisors Corporation, Nelson Gomes, Oncology Pharma, Oncology Pharma Inc, ONPH, OTC Markets, PAIM, Panama, Paulson Investment Company LLC, Pawel P. Dynkowski, Pearl Asian Mining Industries, Penny stocks, pennystockbargain.com, Phoenix Apps Inc, Porrima Ltd, price manipulation, Program Trading Corp, Promotion, Proto Script Pharmaceutical Corp, pump and dump, PXPP, Raymond Dove, Rivex Technology Corp, RIVX, Rocco Brandonisio, Roger Knox, Rudy Nutrition, RUNU, Sandy Steele Unlimited Inc, SBES, scam, Scottsdale Capital Advisors Corp, 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 Attorney, Securities Fraud, Securities Law Defense, Shane Schmidt, share selling scheme, Short Selling, Silverton SA, Sino United Worldwide Consolidated Ltd, Spartan Securities Group Ltd, Special Agent Keith Brown, SSTP, SSTU, Stephen DeCesare, Sterling Financial Group Inc, Sterling Securities Group, Stevva Corp, stock manipulation, Stock Promotion, stock scheme, stock selling scheme, SUIC Worldwide Holdings Ltd, Sustainable Power Corp, Switzerland, the-financialnews.com, Ticino Capital Ltd, toronto, unregistered stock, US District Court for the District of Massachusetts, Valor Capital, VFIN, vFinance, vFinance Inc, vFinance Investments Inc, VMT Scientific Inc, VMTS, vodka, Wellesley Holdings ltd, William Groeneveld, WinterCap SA, WOD Retail Solutions Inc, WODI, xphone network, Xtreme Fighting Championships Inc

Going Public & Exchange Act Registration For Foreign Issuers

Foreign companies going public in the United States must file a registration statement covering a class of securities pursuant to the Securities Exchange Act of 1934, as amended (“Exchange Act”) if the class of securities will be listed… Read More

Category: Blog Posts Tags: Direct Listing, Direct Public Offering, DPO, Dual Listing, Emerging Growth Company, Foreign Issuer, Foreign Private Issuer, Form F-1, Form F-1 Registration Statement, Form Registration Statement, 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 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-3, Form S-4, Go Public, Go Public Attorney, Go Public Direct, Go Public Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, going public transactions, initial public offering, investors, IPO, jobs act, listing requirements, nasdaq, nyse, OTC Markets, OTC Markets Attorney, OTC Markets Dual List, OTC Markets Lawyer, OTCQX, OTCQX Attorneys, OTCQX Eligibility, OTCQX listing requirements, OTCQX Quotation, Penny Stock Attorney, Penny Stock Lawyer, Pot Stocks, Prospectus, Prospectus Requirements, Public Company, Raise Capital, Raise Money, Reg A, Register Securities, Registration Statement, Regulation A, Regulation A Offering, Regulation A Tier 2, Regulation A to Go Public, Regulation CF, Regulation S-K, reporting obligations, Reporting Regulation A, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, S-1 Going Public, SEC, SEC Attorney, SEC Forms, SEC Lawyer, SEC Registration, SEC Registration Statement, SEC Reporting Requirements, Section 12(b), Section 12(g), securities, Securities Act, Securities Attorney, Securities Exchange Act

DTC Eligibility Q&A

The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Company (“DTC”), was created to improve efficiencies and reduce risk in the clearance and settlement… Read More

Category: Blog Posts Tags: Direct Listing, DTC chill, DTC Eligibility, DTC Global Lock, DTC Lock, Electronic Trading, Form 10, 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 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 Attorneys, Going Public Lawyer, Going Public Lawyers, going public transactions, investors, jobs act, Prospectus, Prospectus Requirements, Register Securities, Registration Statement, Regulation A, Regulation A Offering, Regulation A Tier 2, Regulation A to Go Public, Regulation S-K, reporting obligations, Reporting Regulation A, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, S-1 Going Public, SEC Registration, SEC Registration Statement, SEC Reporting Requirements, Section 12(b), Section 12(g), securities, Securities Exchange Act, Securities Offering

Hamilton & Associates Law Group: Regulation A+ White Paper

Regulation A+ White Paper www.securitieslawyer101.com This publication is intended to provide information of general interest to the public and is not intended to offer legal advice about specific situations or problems. Hamilton & Associates Law Group, P.A…. Read More

Category: Blog Posts, Going Public Tags: Direct Listing, 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 F-1, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Lawyer, Form S-1 lawyers, 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, OTC Markets, Prospectus, Prospectus Requirements, Register Securities, Registration Statement, Regulation 1-SA, Regulation A, Regulation A Disclosures, Regulation A Filings, Regulation A Form 1-k, Regulation A Reporting, Regulation A Reports, Regulation A Rule, Regulation S-K, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, 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

SEC Obtains Final Judgment against Jeffrey Auerbach for Role in Bribery Scheme

On February 5, 2024, the Securities and Exchange Commission (the “Commission”) obtained a final judgment against defendant Jeffrey Auerbach, whom the SEC previously charged for his role in a fraudulent scheme to bribe a stockbroker to buy a… Read More

Category: Blog Posts Tags: bribery, bribery scheme, broker bribery scheme, broker-dealer, final judgment, Financial Industry Regulatory Authority, FINRA, Forcefield Energy Inc, Gino M. Pereira, Jarid Mitchell, Jeffrey Auerbach, LogicMark Inc, nasdaq, Nxt-ID Inc, NXTD, Richard Brown, Richard St. Julien, SEC, SEC Attorney, SEC Complaint, Securities and Exchange Commission, stock fraud

SEC Charges Stock Squirrel and John Feloni in $1.6 Million Securities Fraud

On September 29, 2023, the SEC charged Massachusetts-based company Stock Squirrel, Inc. and John Feloni, its president and CEO, with defrauding investors of approximately $1.6 million in an unregistered securities offering. According to the SEC’s complaint Feloni and… Read More

Category: Blog Posts Tags: dodd-frank, John Feloni, OTC Markets, ponzi scheme, Scalping, scam, SEC, SEC Action, SEC Actions, SEC anti-fraud, SEC Attorney, SEC Bounty, SEC Charges, SEC Complaint, SEC Division of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Section 17(b), SEC Subpoena, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, stock manipulation, Stock Squirrel

SEC Charges Adam R. Long, L2 Capital, LLC and Oasis Capital LLC, as Unregistered Dealers

On September 28, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Adam R. Long of Dorado, Puerto Rico, and two companies Long owns and controls for acquiring and selling nearly 6 billion shares of… Read More

Category: Blog Posts Tags: 12 Retech Corp (RETC), ABCO Energy Inc (ABCE), Adam Long, Agritek Holdings Inc (AGTK), Alexander J Dillon, Alfred Sollami, Allstar Health Brands Inc (ALST), Aluf Holdings, Arch Therapeutics Inc (ARTH), Arena Group Holdings Inc (AREN), Astro Aerospace Ltd (ASDN), Auctus Fund LLC, Auctus Fund Management LLC, Axxess Pharma, BHP Capital NY Inc, Bowmo Inc (BOMO), Bridgeway National Corp (fka BDGY), broker-dealer, Bryan Panofel, Bulova Technologies Group, Carebourn Capital LP, CD International Enterprises, Chicago Ventures Partners LP, Chip Alvin Rice, Connexa Sports Technologies Inc (CNXA), Convertible Note, Convertible Notes, Cosmin I Panait, Crownbridge Partners LLC, Cruzani Inc (CZNI), CUBA Beverage Company, Daniels Corporate Advisory Company, Dewmar International BMC, Digital Brands Group Inc (DBGI), Directview Holdings Inc (DIRV), East Coast Diversified Corp., Edward M Liceaga, Elray Resources, Energy Revenue America, Eyes on the Go, Fact Inc (FCTI), FBEC Worldwide Inc (FBEC), Generix Biotechnology Corp (GNBT), George Investments LLC, Gold & Silver Mining of Nevada, Gold and GemStone Mining Inc., GPL Management LLC, GPL Ventures, Green Energy Enterprises, Greenfield Farms Food, Grid Petroleum Corp./ Simlatus Corporation, Grow Solutions Holdings Inc (GRSO), Halberd Corporation, Halitron, Healthnostics, Hybrid Coating Technologies, Ibrahim Almagarby, Iliad Research and Trading LP, In Ovations Holdings, Indo Global Exchange(s) Pte, InoLife Technologies, Integral Technologies Inc (fka ITKG), InternetArray, IOTA Communications Inc (fka IOTC), Jaguar Health Inc (JAGX), JMJ Financial, John M. Fife, Joseph Lerman, Justin W Keener, L2 Capital LLC, Las Vegas Railway Express, LG Funding LLC, LIG Assets, Longeveron Inc (LGVN), Lord Global Corporation (LRDG), Louis Posner, Magnum Opus Acquisition Ltd (OPA), Mansfield-Martin Exploration Mining Inc (fka MCPI), Maptelligent Inc (MAPT), Medical Care Technologies Inc., Medizone International Inc (MZEIQ), MGT Capital Investments Inc (MGTI), Microcap Equity Group LLC, Miles M Riccio, Mining Global, Morningview Financial LLC, MyECheck, Next Galaxy Corp., North American Cannabis Holdings, NuGenerex Immuno-Oncology Inc (fka NUGX), Oasis Capital LLC, Ocean Thermal Energy (CPWR), Origin Agritech Ltd (SEED), otc, Penny stocks, PM&E, PotNetwork Holdings Inc., PPJ Healthcare Enterprises, Predictive Oncology Inc (POAI), Prenetics Global Limited (PRE), Propanc Biopharma Inc (PPCB), Quantum Computing Inc (QUBT), Quantum Materials Corp (QTMM), Quasar Aerospace Industries, Riot Blockchain (RIOT), River North Equity LLC, Sanomedics, SEC, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Sepas Ahdoot, Seven Arts Entertainment, Sharing Economy International Inc (SEII), Sintx Technologies Inc (SINT), Slinger Bag Inc (SLBG), Soheil Ahdoot, Spectrum Global Solutions Inc (SGSI), Sphere 3D Corp (ANY), Terawulf Inc (WULF), Tonaquint Inc, Toxic Lender, Typenex Co-Investment LLC, Unregistered broker-dealer, Unregistered Dealer

SEC Charges Philip Verges, James D. Tilton, Jr., Robert F. Malin and Linda Malin

On September 26, 2023, the Securities and Exchange Commission (the “SEC“) filed charges against Texas resident Philip Verges (“Verges”), James D. Tilton, Jr. (“Tilton”), Robert F. Malin, Linda Malin, Esq., and Blue Citi, LLC (“Blue Citi”) for their… Read More

Category: Blog Posts Tags: 143 Partners LLC, 5Barz International Inc, AB Watley, AB Watley Group Inc, ACI Conglomerated, Alkame Holdings Inc, ALKM, Alternet Systems Inc, ALYI, ANCE, BARZ, Beachhead LP, Blackhead LLC, BLSP, Blue Citi, Blue Citi LLC, Blue Sphere Corp, Blue Water Global Group, BLUU, Brian Shipley, CIAO Group Inc, CIAU, DIDG, Digital Development Group Corp, ECAU, Echo Automotive Inc, Ed Bollen, Enviro-Serv Inc, Estvan Elek, EVSV, FINRA, fraud, front-running trading scheme, GACR, Glenn Bagwell, GRCO, Green Automotive Co, Greenbelt Resources Corp, IHUB, IJJ Corp, IJJP, Indictment, investorshub, James Tilton, JDT Trading, JDT Trading LLC, Kali Inc, KALY, LEXG, Linda Malin, Linda Malin Esq, Lithium Exploration Group Inc, Max Sound Corp, MAXD, mike murphree, Mike Murphy, North American Cannabis Holdings Inc, NOUV, Nouveau Life Pharmaceuticals Inc, OTC Markets, Penny Stock, Philip Verges, PositiveId Corp, PSID, pump and dump, PURA, Puration Inc, Randell Torno, Restance Inc, Robert F Malin, Robert Malin, scam, SEC, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Exchange Act, Securities Fraud, SMEA2Z LLC, Solaris Power Cells Inc, SPCL, Steven Rash, TGRR, Thilo Dunker, ThinSpace Technology Inc, THNS, Tiger Reef Inc, Tilton, Tom Faye, UBIQ, Ubiquity Inc, USMJ, Vaycaychella Inc, VAYK, Verges, Waterpure International Inc, West Cucharras LLC, WPUR, Yasmine Acedo

SEC Charges James P. Anglim in Connection with Fraudulent Scheme to Manipulate Stock Prices

On Monday, July 17, 2023, the Securities and Exchange Commission (the “SEC”) charged New Jersey resident and former broker-dealer registered representative, James P. Anglim, for engaging in multiple deceptive and manipulative schemes to assist various people who controlled… Read More

Category: Blog Posts Tags: 12 Retech Corp, Boiler Room, Bradley Moynes, CGS International, Charlestowne Premium Beverages Inc, Chester Alvarez, Digatrade Financial Corp, Francis Biller, fraud, Frederick L Sharp, GBX International Group, Homie Recipes Inc, Inc, James P Anglim, Joseph Padilla, Luis Carrillo, Oncology Pharma, OTC Markets, Paulson Investment Company LLC, Penny stocks, price manipulation, Proto Script Pharmaceutical Corp, pump and dump, Raymond Dove, Roger Knox, scam, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, 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, SEC Suit, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Short Selling, Sino United Worldwide Consolidated Ltd, Spartan Securities Group Ltd, Stevva Corp, stock manipulation, Stock Promotion, stock scheme, SUIC Worldwide Holdings Ltd, Xtreme Fighting Championships Inc

SEC Obtains Final Judgment Against Thomas Ronk, Former Short Seller Opportunist

On April 14, 2023, the U.S. District Court for the Central District of California entered a final consent judgment against Thomas Carter Ronk imposing injunctive relief, a five-year officer-and-director bar, a five-year penny stock bar, and a civil… Read More

Category: Blog Posts Tags: Angelique de Maison, buyins.net, Casablanca Mining Ltd, Criminal Indictment, FINRA, Gepco Ltd, Gold Standard Mining Corporation, Indictment, Izak Zirk de Maison, Izak Zirk Engelbrecht, Kenneth Eade, Pegasus Wireless Corp, Revolutions Medical Corp, scam, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, 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, SEC Suit, Securities and Exchange Commission, Securities Fraud, Securities Law Defense, SqueezeTrigger, stock fraud, stock manipulation, Stock Promotion, stock scheme, Thomas Carter Ronk, Thomas Ronk, Universal Express Inc., Wealthmakers Ltd

SEC Obtains Final Judgments Against Alexander J. Dillon, Cosmin I. Panait, and their corporate entities GPL Ventures LLC and GPL Management LLC

On May 2, 2023, the U.S. District Court for the Southern District of New York entered final judgments against Alexander J. Dillon, Cosmin I. Panait, and their corporate entities GPL Ventures LLC and GPL Management LLC, whom the… Read More

Category: Blog Posts Tags: AITX, Alexander J Dillon, AMBS, ASCK, AWON, AXXA, CBDL, CHGT, CNNA, Cosmin I Panait, DGWR, DLCR, DNAX, DRCR, FBEC, fraud, FTEG, GDET, GMPR, GPL Management LLC, GPL Ventures LLC, GTOR, HempAmericana Inc, HIHI, HMPQ, HPIL, ICBU, ILUS, IMTL, KPOC, MAPT, market manipulation, MASN, MMNT, NEWC, NODC, NWPN, Penny stocks, PPJE, PRKI, PSID, PSWW, pump & dump, QALB, QEDN, RSAU, scam, SCIE, SDEC, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, 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, SEC Suit, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, SOUM, Stock Promotion, stock scheme, TGRR, UNEQ, URAL, XREG, ZICX

SEC Obtains Default Judgments Against Lesley Greyling and Trend Investments Inc

On April 25, 2023, the U.S. District Court for the District of Massachusetts entered final judgments against defendants Trends Investments Inc, Leslie Greyling and Brandon Rossetti, who were previously charged by the SEC with engaging in a scheme… Read More

Category: Blog Posts Tags: ABTI, Alterola Biotech Inc, Brandon Rossetti, Bulls Run Investments Limited, Clinton Greyling, doj, fraud, investment scheme, Jeffrey Martin, Leslie Greyling, QEBR, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, 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, SEC Suit, Securities Attorney, Securities Fraud, Securities Law Defense, stock scheme, Thomas Capellini, TKCM, Token Communities Ltd, Trends Investments Inc, Virtual medical International Inc

SEC Obtains Over $5 Million Final Judgment Against Charlie Abujudeh in Multi-Million Dollar Microcap Pump and Dump Scheme

On January 20, 2023, the U.S. District Court for the Eastern District of New York entered a final judgment against California resident Charlie Abujudeh whom the SEC had charged for his role in a microcap fraud scheme targeting… Read More

Category: Blog Posts Tags: beatpennystocks, Boiler Room, BRZL, CannaPharmaRx Inc, Charlie Abujudeh, CPMD, CZA Inc, dearwallstreet, Dodd Frank Bounty, dodd-frank, HQ Global Education Inc, HQGE, IBGR, Indictment, Intermarket Associates LLC, ITNS, Itonis Inc, makepennystocksgreatagain, market risking llc, marketprofitcenter, Nexus Energy Services Inc, Odyssey Group International Inc, ODYY, Penny stocks, phone center, protraderelite, Quantum Capital Funding LLC, Scepter Holdings Inc, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Stock Promotion, stock scheme, stockoftheweek, thewolfofpennystocks, trading suspension, Unregistered Dealer

SEC Obtains Judgment Against Todd Zinkwich

On January 12, 2023, the U.S. District Court in Boston entered a final judgment by consent against Florida resident Todd Zinkwich, whom the SEC charged for engaging in a scheme to manipulate the market for numerous microcap stocks…. Read More

Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, Eric Landis, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock scheme, Todd Zinkwich

SEC Charges Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco for their roles in a fraudulent scheme to mislead investors about Cool Holdings, Inc

On January 6, 2023, the Securities and Exchange Commission (“SEC”) announced charges against five individuals for their roles in a fraudulent scheme to mislead investors about Cool Holdings, Inc., a publicly-traded company (“Cool”). The SEC alleges that, from… Read More

Category: Blog Posts Tags: Andrew DeFrancesco, Bankruptcy, Carlos Felipe Rezk, Catherine DeFrancesco, Cool Holdings Inc, Dodd Frank Bounty, dodd-frank, fraud, Marlio Mauricio Diaz Cardona, Nikola Faukovic, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, 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 Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Simply Inc, SIMPQ, stock scheme

SEC Defendant and FBI Fugitive Justin Costello Arrested

On October 4, 2022, SEC Defendant and FBI fugitive Justin Costello was arrested by an FBI SWAT team. Costello had been on the run from authorities as a fugitive since September 29th after failing to surrender to authorities… Read More

Category: Blog Posts Tags: and Canal Capital, and Marijuana Company of America, arrest, Brenda Meckley, Broker, Cannabis Global Inc, Cannabis Strategic Ventures, CBGL, CCSAC Inc, Clancy Systems International Inc, CLSI, Complaint, computerbux, COWP, COWPP, Criminal Indictment, David Ferrero, DCGD, Department of Justice, Discovery Gold Corp, fbi, Foothills Exploration Inc, fraud, FTXP, fugitive, GRN Funds LLC, GRN Holding Corporation, GRNF, Hempstract Inc, HMLA, Homeland Resources Corp, HPST, IHUB, Inc, James Meckley, Justin Costello, Katrina Rosseini, LVCA, M.J. Holdings, marijuana, MCOA, MCTC, MCTC Holdings Inc, MJNE, NUGS, OBCN, Obocon Inc, Pacific Banking Corp, Penny Stock, prison, Pump, REMSleep Holdings Inc, Riverdale Oil and Gas Corporation, RMSL, RVDO, scam, SEC, Section 10(b), Section 17(a), Securities and Exchange Commission, Social Media, Stock Promotion, SWAT, Terri Buhl, Twitter, Utopia Capital Research, Victoria Lake Inc, White Diamond Research

SEC Charges Simon Piers Thurlow, Roger Leon Fidler, Richard Oravec, Bradley Fidler, Bryce Emory Boucher, Joseph D. Jordan in Illegal Microcap Offering

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

SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme known as Forsage

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

SEC Charges Bradley Moynes and Digatrade Financial Corp in Fraudulent Microcap Scheme

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

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