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 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, Stock Promotion, stockoftheweek, thewolfofpennystocks, trading suspension, Unregistered Dealer
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
On January 20, 2023, the Securities and Exchange Commission (the “SEC”) charged Avraham Eisenberg with orchestrating an attack on a crypto asset trading platform, Mango Markets, by manipulating the MNGO token, a so-called governance token that was offered… Read More
Category: Blog Posts Tags: Avraham Eisenberg, CFTC, Commodities Futures Trading Commission, crypto, Department of Justice, Dodd Frank Bounty, dodd-frank, doj, fraud, Indictment, Mango Markets, market manipulation, MNGO, Puerto Rico, scam, 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 Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, token
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 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 Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Todd Zinkwich
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 Claim, SEC Complaint, 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 Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Simply Inc, SIMPQ
OTC Markets Group has published amendments to the Pink Basic Disclosure Guidelines. The amendments to the Guidelines have been updated to require additional information about ownership and to improve investor access to company disclosure by establishing best practices… Read More
On December 20, 2022, Judge Beth Bloom of the United States District Court for the Southern District of Florida entered a final judgment against Justin W. Keener d/b/a JMJ Financial. The SEC’s complaint alleged that Keener failed to… 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, Justin Keener, 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 Dealer
OTC Markets published guidance with respect to Section 2.13(d) of the OTCQX Rules for U.S. Companies and Section 1.4(5) of the OTCQB Standards regarding the review of applications to the OTCQX and OTCQB markets. The notice is intended to… Read More
Category: Blog Posts Tags: 15c-211, beneficial owners, broker-dealer, convertible note lender, Dealer, Dilution Funder, Dilution Funding, Dilutive Financing, Edgar, FINRA, Foreign Issuer, Form 10-K, Listing Fees, OTC Markets Applicants, OTC Markets Group, OTCQB, OTCQB applicants, OTCQB Standards, OTCQX, OTCQX applicants, OTCQX rules, Penny Stock, pink sheets, Quotation, Reporting Requirement, Rule 12g3-2(b), SEC filer, Securities Exchange Commission, Toxic Convertible Note, toxic financier, toxic financing, Toxic Financings, toxic funding, Toxic Lender, toxic lending, Transfer Agent, Unregistered Dealer
On December 12, 2022, the Securities and Exchange Commission (the “SEC”) charged J.H. Darbie & Co., Inc., a New York City-based brokerage firm, with failing to report suspicious activity related to transactions in tens of billions of shares… Read More
Category: Blog Posts Tags: AML P&P, anti-money laundering policies and procedures, Auctus Fund LLC, C, Calissio Resource, CRGPs Group, Dodd Frank Bounty, dodd-frank, FINRA, FirstFire Global Opportunities Fund LLC, GHS Investments LLC, J.H. Darbie, JH Darbie & Co Inc, Labrys Fund LP, LGH Investments LLC, SARS, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Section 17(a), Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock promotions, Suspicious Activity Reports, Unregistered Dealer
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
On December 13, 2022, eight social media influencers were arrested and charged in the United States District Court for the Southern District of Texas Houston Division for a stock manipulation scheme that earned the group at least $114… Read More
Category: Blog Posts Tags: ABVC, ABVC BioPharma Inc, Alzamend Neuro Inc, ALZN, Atlas Trading, Atlas Trading Discord, BBI, Brickell Biotech Inc, Camber Energy Inc, CEI, China SXT Pharmaceuticals Inc, conspiracy to commit securities fraud, Daniel Knight, DatChat Inc, DATS, DipDeity, Discord, doj, Edward Constantinescu, Gary Deel, GTT, GTT Communications Inc, Hugh_Henne, Indictment, John Rybarczyk, LadeBackk, Mitchell Hennessey, MrZachMorris, notoriousalerts, ohheytommy, PERRY MATLOCK, PJ MATLOCK, PJ_Matlock, pump and dump, scam, scheme, SEC, Securities and Exchange Commission, Securities Fraud, Social Media, Stefan Hrvatin, Stock Scalping, SURF, Surface Oncology Inc, SXTC, Tom Cooperman, Torchlight Energy Resources Inc, TRCH, Twitter, Ultra_Calls, Universe Pharmaceuticals Inc, UPC
Today, December 13, 2022, the Securities and Exchange Commission (the “SEC”) charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (“FTX”), the crypto trading platform of which he was the CEO and… Read More
Category: Blog Posts Tags: Alameda Research LLC, arrest, Bahamas, CFTC, Commodity Futures Trading Commission, crypto, Digital Assets, disgorgement, doj, fines, fraud, FTX, FTX Trading Ltd, Indictment, prison, restitution, Samuel Bankman-Fried, SBF, scam, SEC, Securities and Exchange Commission, Securities Fraud, wire fraud
A Class Action Complaint filed in the United States District Court Central District of California Western Division on December 8, 2022 names several A-list musicians, athletes and celebrities as defendants for promoting Bored Ape Yacht Club NFTs (“BAYC… Read More
Category: Blog Posts Tags: Abel Tesfaye, Adidas, Alexander Pall, Alexis Ohanian, Amy Wu, Andrew Taggart, Austin Richard Post, BAYC NFTs, Beeple, Bored Ape, Bored Ape Yacht Club, Calvin Broadus Jr, Christopher Lyons, class action, cryptocurrency, Dean Steinbeck, Diplo, DJ Khaled, Future, Greg Solano, Guy Oseary, Gwyneth Paltrow, Jasmin Shoemaker, Jimmy Fallon, Kerem Atalay, Kevin Hart, Khaled Mohammed Khaled, lawsuit, Maaria Bajwa, Madonna, Madonna Louise Ciccone, Mike Winkelmann, Nayvadius Wiburn Cash, NFTs, Nicole Muniz, Paris Hilton, Patrick Ehrlund, Post Malone, Promotion, SEC, securities, Securities and Exchange Commission, Serena Williams, Snoop Dogg, Stephen Curry, the Tonight Show, The Weeknd, Thomas Pentz, Universal Television LLC, Wardell Stephen Curry II, Wylie Aronow, Yuga Labs, Zeshan Ali
December 8, 2022 A new Public Company Accounting Oversight Board (“PCAOB”) staff report published this month, found on the Staff Publications page on the PCAOB website, shows a year-over-year increase in the number of audits with deficiencies at… Read More
Category: Blog Posts Tags: accounting, audit firm, audit reports, audits, Erica Y Williams, Going Public, inspections, PCAOB, Public Company Accounting Oversight Board, SEC, Securities Attorney, stock
The Securities and Exchange Commission (“SEC”) requires various forms of SEC registration statements covering the offer and sale of securities for both public and private companies. The eligibility and requirements of each SEC registration statement vary depending on… Read More
Category: Blog Posts Tags: Direct Listing, Direct Public Offering, DPO, Emerging Growth Company, Foreign Issuer, Foreign Private Issuer, Form F-1, Form S-1, Form S-3, Form S-4, Go Public, Going Public, IPO, nasdaq, nyse, OTC Markets, Public Company, Registration Statement, SEC Forms, SEC Registration Statement, Securities Act, Securities Exchange Act
On November 22, 2022, Canadian resident David Stephens and California residents Donald Danks, Jonathan Destler, and Robert Lazerus were charged in a federal grand jury indictment with securities fraud in connection with a pump-and-dump scheme, and Danks was… Read More
Category: Blog Posts Tags: David Stephens, Dodd Frank Bounty, dodd-frank, Donald Danks, FAMG, First American Group Inc, Form S-1, Going Public, Indictment, Jonathan Destler, LOOP, Loop Industries Inc, Robert Lazerus, 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, Thomas Puzzi, Unregistered Dealer
On November 17, 2022, the Securities and Exchange Commission (the “SEC”) charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities… Read More
Category: Blog Posts Tags: broker-dealer, Charlie Abujudeh, Convertible Note, Crito Capital LLC, Dodd Frank Bounty, dodd-frank, doj, GEL Direct LLC, GEL Direct Trust, Jeffrey K Galvani, Penny Stock, SEC, 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 and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Stuart A Jeffery, Toxic Convertible Note, Toxic Lender, Unregistered Dealer
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
On August 25, 2022, Joseph Padilla was arrested at the San Diego International Airport in connection with his alleged involvement in a sophisticated securities fraud scheme that generated over $7 million in illicit proceeds. Padilla, 53, of Carlsbad,… Read More
Category: Blog Posts Tags: 1st Prestige Wealth Management, Aladdin Trading & Company, ALDI, Andrea Ritchie, Angelo R. Panetta, Ashley Robinson, Barry Grinberg, BIIO, Bionovate Technologies Group Inc, Bioscience Neautroceuticals Inc, broker-dealer, Carlsbad, Cayman Islands, cbd, Chad P. Smanjak, Charlestowne Premium Beverages Inc, College Admissions Scandal, cooperating witness, Country Line Energy Corp, Courtney Kelin, criminal charges, cross trading, Curacao, CYLC, Daniel E. Ruettiger, DEVV, doj, Douglas Roe, EHDN, eHolding Technologies, Empire Financial Group Inc, Evergreen Solutions Ltd, fbi, Financials Worldwide Inc, FINRA, First Pet Life Inc, FPLF, FPWM, fraud, Frederick Sharp, Gary J. Yocom, Germany, Gregg Mulholland, Hong Kong, Human Data AG, Hungary, Indictment, Jonathan Leinwand, Joseph Padilla, Kelly Warawa, Kevin Quinn, Kevin S. Kaplan, lev Parnes, Luis Carillo, Market Maker, Martin Ustin, Mehmet Mustafoglu, Mexico, Michael Luckhoo-Bouche, Mike Veldhuis, Militza Miro de Torm, Morrie Tobin, National Advisors Corporation, Nelson Gomes, PAIM, Panama, Pawel P. Dynkowski, Pearl Asian Mining Industries, Penny stocks, pennystockbargain.com, Phoenix Apps Inc, Porrima Ltd, Program Trading Corp, Promotion, pump and dump, PXPP, Rivex Technology Corp, RIVX, Rocco Brandonisio, Roger Knox, Rudy Nutrition, RUNU, Sandy Steele Unlimited Inc, SBES, scam, Scottsdale Capital Advisors Corp, SEC, SEC Complaint, Securities and Exchange Commission, Securities Fraud, Shane Schmidt, share selling scheme, Silverton SA, Special Agent Keith Brown, SSTP, SSTU, Stephen DeCesare, Sterling Financial Group Inc, Sterling Securities Group, stock manipulation, Sustainable Power Corp, Switzerland, the-financialnews.com, Ticino Capital Ltd, toronto, unregistered stock, 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
On October 31, 2022, the Securities and Exchange Commission charged six individuals, including a federal inmate, for conducting a freeriding scheme that defrauded multiple broker-dealers. The SEC’s complaint alleges that from May 2019 to early January 2021, Syed… Read More
Category: Blog Posts Tags: Blake Douglas McKinney, broker-dealers, Dodd Frank Bounty, dodd-frank, fraud, freeriding scheme, John Ryan Shows, Mushfiqur Rahman, 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, Syed Arham Arbab, Tomas Javier Jimenez, trading suspension, University of Georgia, Unregistered Dealer, William Carl Spagnoli
Once the staff of the Securities and Exchange Commission (“SEC”) declares a company’s registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the “1933 Act”), the company may offer and sell the registered… Read More
SEC Registration Statements And Direct Public Offerings Q & A Filing a Form S-1 registration statement is the most efficient and reliable method for a private company to obtain public company status. Using a Form S-1 registration statement,… Read More
Category: Blog Posts Tags: Direct Public Offering, DPO, FINRA, Form 211, Form S-1, Going Public, initial public offering, IPO, Market Maker, PCOAB, propectus, Q&A, Registration Statement, S-1, SEC, SEC Comments, SEC review, Securities Act of 1933
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
A 12-count indictment was unsealed on October 19, 2022, in federal court in Brooklyn, New York, charging five Russian nationals, Yury Orekhov, Artem Uss, Svetlana Kuzurgasheva, also known as “Lana Neumann,” Timofey Telegin and Sergey Tulyakov with various… Read More
Category: Blog Posts Tags: Artem Uss, China, Germany, Indictment, Juan Carlos Soto, Juan Fernando Serrano Ponce, Juanfe Serrano, Krasnoyarsk Krai, Lana Neumann, Money Laundering, Nord-Deutsche Industrieanlagenbau GmbH, oil, oligarchs, Opus Energy Trading LLC, PDVSA, Petroleos de Venezuela SA, Russia, Russian Oligarchs, sanctions, Sergey Tulyakov, smuggling, Svetlana Kuzurgasheva, Timofey Telegin, Ukraine, war, Yury Orekhov
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
The last week of September marked the one-year anniversary of the compliance date for the Securities and Exchange Commission (“SEC”) amendments to Securities and Exchange Act Rule 15c2-11, which regulates the quotation of over-the-counter securities. As we shall… Read More
Category: Blog Posts Tags: 15c-211, 15c2-11, 15c211, Amended Rule 15c2-11, Annual Report, Bob Power, Chris King, crypto, disclosure standards, disclosures, Dr Rory Knight, Expert Market, FINRA, Form 211, Jason Paltrowitz, Joe Oltmanns, Market Maker, meme stocks, NASD, nasdaq, National Association of Securities Dealers, No Information, otc, OTC Link, OTC Markets, OTC Markets Group, OTC Pink, OTCM, OTCQB, OTCQX, over-the-counter securities, Penny stocks, pink sheets, Rule 12g3-2(b), Rule 6432, Rule5250, SEC, SEC Rule 15c2-11, Securities and Exchange Commission, SPACs, Sponsoring Market Maker, webinar, zombie tickers
On Wednesday, October 5th, the Department of Justice announced awards totaling almost $100 million to reduce recidivism and support adults and youths in successfully returning to their communities after a period of confinement.
Category: Blog Posts Tags: BJA, Bureau of Justice Assistance, crime, Damian Williams, Department of Justice, Executive Order, grants, Karhlton F Moore, Office of Justice Programs, Office of Juvenile Justice and Delinquency Prevention, OJJDP, OJP, OJP Awards, recidivism, Second Chance Act, Second Chance Act Community-Based Reentry program, Second Chance Pell Initiative
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, Go Public, Going Public Direct, initial public offering, IPO, nasdaq, Nasdaq Capital Market, Public Company, 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
SEC Registration Statements And Direct Public Offerings Q & A
SEC Registration Statements And Direct Public Offerings Q & A Filing a Form S-1 registration statement is the most efficient and reliable method for a private company to obtain public company status. Using a Form S-1 registration statement,… Read More
Category: Blog Posts Tags: Direct Public Offering, DPO, FINRA, Form 211, Form S-1, Going Public, initial public offering, IPO, Market Maker, PCOAB, propectus, Q&A, Registration Statement, S-1, SEC, SEC Comments, SEC review, Securities Act of 1933