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
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
We’ve often written about “toxic” promissory notes or preferred stock and the unregistered dealers who purchase them. These dealers are not the broker-dealers ordinary retail investors have accounts with. They are individuals with companies of their own that… Read More
Category: Blog Posts Tags: Awesome Penny Stocks, Bergio International Inc, BRGO, broker-dealer, Convertible Notes, Dilution, Dilution Funder, events of default, Expert Market, Form 211, Form 8-K, Grey Market, Ibrahim Almagarby, Joshua Sason, Lustros Inc, Magna Group, Microcap Equity Group LLC, microchips, naked shorting, nasdaq, Nasdaq Capital Market, NewLead Holdings Ltd, Operation Bermuda Short, OTC issuers, OTC Markets, Penny stocks, Pierre Hillion, preferred stock, promissory notes, Reg SHO, revere split, Rule 144, Sandy Winick, SEC, Securities and Exchange Commission, Short Sellers, Short Selling, Theo Vermaelen, Tippy Inc, Toxic Funders, toxic notes, unregistered dealers, Vis Vires Group Inc, Zachary T Knepper
Short selling, the practice of betting a stock will go down, not up, has been controversial since it was invented more than 400 years ago in the Netherlands. In the early 1600s, there was only one stock in… Read More
Category: Blog Posts Tags: Citron Research, County, dodd-frank, Dutch East India Company, Hindenburg Research, Isaac le Maire, Lehman Brothers. SEC Chair, Muddy Waters, Naked Short, OTC Markets, ponzi scheme, Sabby Management, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, SEC Division of Enforcement, SEC enforcement, SEC Lawsuit, SEC Lawyer, SEC Subpoena, Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Seeking Alpha, Short and Distort, Short Sale, Short Seller, Short Selling, short trade, stock manipulation, Tingo Group
On December 4, 2023, Swiss private bank Banque Pictet et Cie SA admitted to conspiring with U.S. taxpayers and others to hide more than $5.6 billion in 1,637 secret bank accounts in Switzerland and elsewhere and to conceal… Read More
Category: Blog Posts Tags: Banque Pictet et Cie SA, County, deferred prosecution, dodd-frank, fraud, Internal revenue service, IRS, Money Laundering, offshore accounts, OTC Markets, ponzi scheme, Scalping, scam, SEC, SEC Action, SEC anti-fraud, SEC Attorney, 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, settlement, stock manipulation, Swiss Bank, tax evasion, tax fraud, The Pictet Group
In the past three years, some important changes have occurred to how “penny stocks” or “microcaps” trade and are regulated. By the early 2000s, they’d moved from the obscurity of the National Quotation Bureau’s Pink Sheets to a… Read More
Category: Blog Posts Tags: AMC, AMC Entertainment Holdings, APES, APS, Awesome Penny Stock, CMKM Diamonds Inc, CMKX, compliance, Cromwell Coulson, delisting, Dilution, dormant shells, E-Trade, Eric Van Nguyen, Expert Market, Fidelity, FINRA, GameStop, GME, Grey Market, initial public offering, IPOs, John Babikian, low floats, Market-adjustable securities, meme stocks, microcaps, nasdaq, nyse, OTC Link, OTC Markets Group, OTCBB, Penny stocks, pink sheets, preferred stock, promissory notes, ramp-and-dump, Reddit, reverse split, Rule 15c211, SEC, Securities Attorney, Shell, shell hijacking, shell peddler, stock manipulation, Stock Promotion, TD Ameritrade, warrants
Just about everybody knows what a “pump-and-dump” scheme is. It’s a type of price manipulation where bad actors use falsified, heavily promoted news, financial statements or other marketing communications to increase volume and manipulate the market price of… Read More
Category: Blog Posts Tags: bad actors, China, Financial Industry Regulatory Authority, FINRA, foreign Issuers, IPO, price manipulation, pump and dump, ramp-and-dump, 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 Attorney, Securities Fraud, Securities Law Defense, small-cap, Social Media, stock scheme
On May 18, 2023, Mark Miller became the last of three men to be sentenced for a securities fraud scheme that involved hijacking several abandoned penny stocks, then using them for an illegal pump-and-dump stock manipulation scheme. Miller… Read More
Category: Blog Posts Tags: Alan Masley, BBDA, Bebida Beverage Company, Bell Buckle Holdings, BLLB, Breezy Point, Cann American Corp, Capitol Capital Corporation, Christopher James Rajkaran, Christopher Rajkaran, CNNA, David Goulding, DIGI, Digitiliti Inc, ECMH, Encompass Holdings, fraud, Gary Kouletas, GBEN, Global Resource Energy Inc, Howard Salamon, IGEX, Indictment, Indo Global Exchanges Ptd Ltd, Jason Black, Jason Tucker, Jesus Cipriano, John O'Shea, lawsuit, LEAS, Mark Allen Miller, Mark Miller, Market Cap Concepts LLC, MarketCap, Marketing Worldwide Inc, MEDH, Medx Holdings Inc, Minnesota, MWWC, New World Gold Corp, NWGC, PAG Group LLC, Penny stocks, pump and dump, Robyn Goulding, Saeid Jaberian, SAPX, Securities Attorney, Seven Arts Entertainment Inc, Simulate Environment Concepts, SMEV, stock manipulation, Strategic Asset Leasing Inc, Tiger Trout Capital LLC, UITA, Utilicraft Aerospace Industries, Via Capital
On Thursday, April 20, 2023, Damian Williams, the United States Attorney for the Southern District of New York, Michael J. Driscoll, the Assistant Director in Charge of the New York Field Office of the Federal Bureau of Investigation… Read More
Category: Blog Posts Tags: arrest, attorney, disbarred attorney, Dominion Bank, Dominion Bank and Trust Company, fake loans, fbi, Federal Bureau of Investigation, felon, fraud, fraud scheme, Gerald Shaw, Indictment, Jerry Shaw, Office of Homeland Security, SBLC, scam, 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 Fraud, Securities Law Defense, Southern District of New York, stock scheme, United States Attorney
Charles McGonigal, a former top counterintelligence official in the FBI’s New York Field Office, who retired from the FBI in 2018, has been arrested and charged in two separate cases involving his dealings with foreign operatives, including billionaire… Read More
Category: Blog Posts Tags: Albania, Charles McGonigal, conspiracy, counterintelligence, counterintelligence official, Criminal Indictment, dark web, Donald Trump, fbi, Indictment, Money Laundering, Mueller Report, Oleg Deripaska, Oligarch, Paul Manafort, Robert Mueller, RUAL.MM, Rusal, Russia, Sergey Shestakov, Shell Companies, spy, traitor, Trump-Russia investigation, US Sanctions, Vladimir Putin
A week before the 2022 midterm elections, the ranking members of four important committees of the House of Representatives composed and jointly signed a letter to Gary Gensler, Chair of the Securities and Exchange Commission, demanding answers to… Read More
Category: Blog Posts Tags: Bill Huizenga, broker-dealer, CFTC, Commodity Futures Trading Commission, congress, crypto, Cryptocurrencies, defi, Elad Roisman, FTX, Gary Gensler, Hester Peirce, House, House of Representatives, James Comer, Jim Jordan, Pat Toomey, Patrick McHenry, Republicans, securities, Securities and Exchange Commission, Subcommittee on Oversight and Investigations of the Committee on Financial Services, Tom Emmer
By now, most people have heard about the epic collapse of FTX. The crypto exchange founded by Sam Bankman-Fried (“SBF”) was once the 3rd largest crypto exchange, with an estimated valuation of $32 billion, and is now in… Read More
Category: Blog Posts Tags: Alameda, Alameda Research, backdoor, Bankruptcy, Binance, Bloomberg, Changpeng Zhao, Chapter 11, class action, Coindesk, crypto, CZ, David Ortiz, Department of Justice, DJ Khaled, doj, Edwin Garrison, Enron, Floyd Mayweather, FTC, FTT, FTX, FTX Platform, Gisele Bundchen, Golden State Warriors, hack, John J Ray III, Kevin O'Leary, Kim Kardashian, Larry David, Lawrence Gene David, Miami Heat, MSN, Naomi Osaka, OKX, ponzi scheme, Ryne Miller, Sam Bankman-Fried, SBF, scam, SEC, SEC Action, Securities and Exchange Commission, Shaquille O'Neal, Shohie Ohtani, Stephen Curry, Tether, Tom Brady, Trevor Lawrence, Twitter, Udonis Haslem, unregistered securities, William Trevor Lawrence, WSJ, YBAs
According to various internet reports, Nasdaq Inc has halted the initial public offerings (IPOs) of at least four small Chinese companies while it investigates short-lived stock rallies of other recent Chinese IPOs after going public. Several small Chinese… Read More
Category: Blog Posts Tags: Addentax Group Corp, Amtd Digital Inc, ATXG, China, Chinese IPO, Chinese Stocks, HKD, Initial Public Offerings, IPO, Jianzhi Education Technology Group Company Limited, JZ, Magic Empire Global Ltd, MEGL, nasdaq, Nasdaq Inc, Penny Stock, pre-IPO, pump and dump, stock manipulation
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 March 24, 2022, as an anxious world hoped for positive results from a NATO meeting convened to address the ongoing war in Ukraine, former President Donald Trump sought to redress the harm he believes was done to… Read More
Category: Blog Posts Tags: Alex van der Zwaan, Alfa Bank, Attorney General, Barack Obama, Brian Krebs, COVID, COVID-19, Cristopher Steele, Democrats, doj, Donald Trump, fbi, Fusion GPS, George Papadopoulos, Glenn Simpson, Hillary Clinton, James Comey, Jeff Sessions, John Durham, Konstantin Kilimnik, Latham & Watkins LLP, lawsuit, Liz Harrington, Mar-a-Lago, Michael Sussman, Mueller Investigation, Orbis Ltd, pandemic, Paul Manafort, Perkins Coie, Peter Fritsch, Peter Ticktin, Republicans, Richard Pinedo, Rick Gates, RICO, Robert Durham, Robert Mueller, Rod Rosenstein, Rodney Joffe, Russia, Russiagate, Russian Hoax, Steele Dossier, Sussman case, Trump Organization, Ukraine, US President, Viktor Yanukovych, William Barr, witch hunt
In mid-January 2022, British tabloid the Daily Mail published a long story about U.S. House Speaker Nancy Pelosi’s son Paul Jr, in which it was alleged that he’d been involved in a number of shady businesses, some of… Read More
Category: Blog Posts Tags: Annpurna Corporation, Asa Saint Clair, Aspen Leasing Services, Bridge Equity Inc, Bridge Financial, Bridge Securities LLC, CNN, con, Countryland Wellness Resorts, Countrywide Home Loans, Daily Mail, fda, FOGFuels, Food and Drug Administration, Freedom Leaf, FRLF, Geoffrey Berman, GL Brands, GRLB, Hillary Clinton, IGOBit, Indictment, InfoGROUP, Ivanka Trump, James E Cohen, Joseph Corazzi, Las Vegas Entertainment Network, LVEN, Miller Energy Resources, MILLQ, Nancy Pelosi, Natural Blue Resources, NTUR, NY Post, OTC Markets, Paul Marshall, Paul Pelosi, Paul Pelosi Jr, Penny stocks, Rajnish K Das, scam, SEC, Securities and Exchange Commission, Stormy L Dean, Targeted Medical Pharma, Toney Anaya, TRGM, US House Speaker, Vasant H Raval, Vin Gupta, Walter Karl Inc
On May 20, 2021, Ted Brent Alexander and Jon Darrell Seawright both of Jackson, Mississippi, were indicted by a federal grand jury for their roles in a large multi-million dollar Ponzi scheme that adversely affected hundreds of victims across multiple states over about eight years.
Category: Blog Posts Tags: Alexander Seawright Transportation LLC, Arthur Lamar Adams, Baker Donelson, bankruptcy fraud, Brent Alexander, criminal, Dodd Frank Bounty, dodd-frank, doj, Indictment, Jon Darrell Seawright, lumber, Madison Timber Properties LLC, Mississippi, ponzi scheme, 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, Ted Brent Alexander, trading suspension, wire fraud
The Securities and Exchange Commission case against Robinhood Financial moved one step closer to a payout when the SEC issued an Order appointing JND Legal Administration as the Fund Administrator of the Fair Fund established for the $65,000,000 that Robinhood Financial had agreed to pay on December 17, 2020.
Category: Blog Posts Tags: Broker, class action, commission free, congress, controversy, crash, crSecurities and Exchange Commission, Fair Fund, fine, Fund Administrator, GameStop, glitch, GME, hacking, initial public offering, IPO, JND Administration, lawsuit, Massachusetts Securities Division, OTC Markets, pandemic, Penny stocks, Robinhood, Robinhood Financial, SEC, SEC Complaint, SEC Order, short squeeze, stock trading, suicide, wall street
On Wednesday, April 7th, six South Florida residents were indicted by a federal grand jury on charges that they defrauded investors of approximately $21 million by falsely claiming that the investors’ money would go towards the development of… Read More
Category: Blog Posts Tags: 7S Oil & Gas LLC, Aegis Oil LLC, Alexander Charles White, American Green Group Inc, Bidville Inc, boiler rooms, Bonnano Crime Family, CFTC, Cindy Vandivier, Cirilium Holdings Inc, Commodity Futures Trading Commission, conspiracy to commit mail fraud, crime family, Cypress Wealth Management Group Inc, David Goertz, Dough Wright, fbi, federal grand jury, FINRA, fraud, Gerald Parker, GLUV Corp, iBID USA Inc, Indictment, investors, Joseph Charles, kickbacks, LH Ross & Company Inc, Madison Brooke, Madison Brookes, Magic Media Inc, Michael Assenza, mob, mobile gaming application, Money Laundering, otc, Paul Geraci, Paul Vandivier, Penny stocks, Phillip Polizzotto, prison, Renewable Corp, Royal Palm Capital, Saleen Automotive Inc, Salvatore Puccio, scheme, SEC, Securities and Exchange Commission, Securities Fraud, Social Voucher, Social Voucher.com Inc, South Florida, Stocket Inc, stocks, Ted Lamar, Ted Romeo, telemarketing, undisclosed commissions, wire fraud
On December 17, 2020, the US Department of Justice unsealed an Indictment against nine individuals charged in a “pump and dump” stock manipulation scheme involving Global Resource Energy Inc (GBEN) filed in the Northern District of Ohio, Eastern Division.
Category: Blog Posts Tags: Alberta Securities Commission, Avila P&H LLC, Belize, BLUF, BluForest Inc, Brian Kingsfield, Cathy Collins, CBDX, Cem Can, Charles Michael Miller, Christopher Joseph Bongiorno, Christopher Neumann, Complaint, Conspiracy to Commit Securities, Curative Biosciences Inc, Dale Pearlman, Dale Scott Pearlman, Damon Durante, David Michael Naylor, David Naylor, doj, Donald Lee Howard, Expert Market, fbi, fraud, Gary Kouletas, GBEN, Global Resource Energy Inc, Grey Market, Gulf Coast M&A Ltd, Healthient Inc, Hughe Duwayne Graham, Indictment, Intertech Solutions Inc, ITEC, Jason Allan Arthur, Jim Can, Larry Louis Matyas, Luxorious Travel Corp, LXRT, Mail Fraud, match trading, Money Laundering, NuBasalt International Inc, otc, OTC Markets Group, PAG Group LLC, paint the tape, Patrick Thomas, Paul Giarmoleo, Paul Spivak, Penny Stock, Petroteq Energy Inc, PQEFF, Private Resources LLC, pump and dump, Richard Andrew Mallion, Richard Eden, SEC, SEC suspensionMichael Strong, Securities Fraud, Sims Investment Holdings, SNAX, stock manipulation, Streamworx Consulting LLC, SYAI, Sycamore Ventures Inc, Systems America Inc, SYVN, Thomas Collins, Tyler Paulson, United States Department of Justice, United States Securities Commission, US Lighting Group Inc, USLG, Verde Asset Management LLC, View Point Health Investments LLC, Virtual MediClinic USA LLC, William Scott Marshall, wire fraud
The U.S. House of Representatives unanimously passed legislation on Wednesday that would kick Chinese companies off U.S. stock exchanges if they do not fully comply with the U.S. auditing rules.
Category: Blog Posts Tags: Accounting Fraud, Alibaba, BABA, Baudu Inc, BIDU, Chinese Stocks, congress, Donald Trump, fake sales, foreign stocks, fraud, FUTU, Futu Holdings, Hindenburg Research, Holding Foreign Companies Accountable Act, Janet Yellen, Jay Clayton, JD, JD.com, Joe Biden, Kandi Technologies, KNDI, legislation, LK, LKNCY, Luckin Coffee, nasdaq, NIO, Nio Inc, nyse, PCAOB, PDD, Pinduoduo, Public Company Accounting Oversight Board, regulators, sales fraud, scam, scrutiny, SEC, Securities and Exchange Commission, self-dealing, Senate, SINA, Sina Corp, Steven Mnuchin, Treasury Secretary, US House of Representatives, US listed stocks, US Treasury, VIPS, Vipshop
As business owners, it’s important that you watch out for all of these forms of business identity theft. Your business, whether big or small, is vulnerable to all of these schemes, just by virtue of being in business.
Swedish multinational corporation Telefonaktiebolaget LM Ericsson, better known as simply “Ericsson”, was charged by the Securities and Exchange Commission (SEC) “with engaging in a large-scale bribery scheme involving the use of sham consultants to secretly funnel money to… Read More
Though FINRA’s principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the over-the-counter markets including all tiers of the OTC Markets. Part of that oversight involves processing corporate action requests from issuers of… Read More
Category: Blog Posts Tags: FINRA 6490, FINRA Corporate Action Request, FINRA Rule 6490, FINRA Rule 6490 - FINRA Compliance and Rule 6490 Lawyers, 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 Direct, going public transactions, Public, Register Securities, Registration Statement, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, SEC Registration, SEC Registration Statement, SEC Reporting Requirements, Section 12(b), Section 12(g), Securities Exchange Act, securities offerings
On October 24, 2019, the Financial Industry Regulatory Authority (FINRA) announced a settled enforcement action involving BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. A lengthy FINRA investigation found that although the firms did a brisk… Read More
Category: Blog Posts Tags: AML, Anti-Money Laundering, BNP, BNP Capital, BNP Paribas, BNP Prime, BNP Securities, Broker Check, FINRA, Form 211, Money Laundering, otc, OTC Markets, OTC Markets Group, OTC Pink, OTCBB, Over-the-Counter Bulletin Board, Penny Stock, Rule 15c2-11
Ross Mandell was the founder of Sky Capital Holdings, Ltd., a venture capital firm and brokerage. He is currently serving a 12 year sentence for defrauding investors of over $100 million from 2001 to 2006. His case was… Read More
Category: Blog Posts Tags: 2255 motion, 60b, Adam Harrington, appeal, doj, fbi, foia, Jeff Hoffman, 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
The Securities and Exchange Commission (“SEC”), the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation have announced charges against five individuals, who the authorities allege attempted to manipulate shares of Boston-based Amogear Inc. A… Read More
Imagine you were a businessman whose company operated in New York and London, and whose stock traded on the AIM, the London Stock Exchange’s venture market. One day in 2006, your New York offices are raided by the… 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
Complying with Rule 6490’s requirements may entail an unanticipated legal and compliance cost for issuers and their securities attorneys, who may be unfamiliar with FINRA’s authority under 10b-17. Additionally, many OTC Markets issuers are not prepared for the Depository Trust Company (“DTC”) review that may be prompted by the issuer’s corporate action notification.
Category: Blog Posts Tags: FINRA, FINRA 6490, FINRA 6490 Lawyer, FINRA Corporate Action Request, FINRA Rule 6490, 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 Direct, going public transactions, OTC Markets, Public, Register Securities, Registration Statement, Reverse Merger, Reverse Merger Transaction, Reverse Mergers, Rule 10b-17, Rule 6490, SEC Registration, SEC Registration Statement, SEC Reporting Requirements, Section 12(b), Section 12(g), Securities Exchange Act, securities offerings
FINRA & Penny Stocks When the subject of penny stock enforcement actions arises, most people think first of the Securities and Exchange Commission (SEC), or erroneously, of OTC Markets Group (OTCM). The SEC has ultimate authority to deal with… Read More
Category: Blog Posts Tags: 15c-211, Dilution, dodd-frank, Expert Market, FINRA Halt, FINRA Processing, FINRA Rule 6490, Forward Split, Forward Stock Split, fraud, Investor Loss, Investor Victims, MULN, nasdaq, nyse, Officer Director Bar, OTC Markets, OTC Pink, OTCQB, Penny Stock, Penny Stock Bar, penny stock scam, penny stock scheme, penny stock sting, ponzi scheme, Public Company, reverse split, reverse stock split, 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 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, SEC Whistleblower, Section 17(b), Section 5 violation, Securities Act, Securities Act Section 17(b), Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, Securities Lawyer, Shell Company, SPAC, stock manipulation, Stock Scalping, stock scheme, Stock Split, Toxic Lender, trading suspension, Transfer Agent, Unregistered broker-dealer, Unregistered Dealer, Wells Notice, zombie ticker
