The Securities and Exchange Commission announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life…
Read MoreEarlier today, in federal court in Central Islip, Mark Lisser pleaded guilty to securities fraud conspiracy for lying to customers about investments…
Read MoreThe Securities and Exchange Commission charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the basis of its revenue…
Read MoreThe Securities and Exchange Commission announced that the U.S. District Court for the Central District of California entered final judgments against the…
Read MoreAccording to a statement posted on the TD Ameritrade website, the popular trading platform will restrict orders in Caveat Emptor designated OTC…
Read MoreThe Securities and Exchange Commission case against Robinhood Financial moved one step closer to a payout when the SEC issued an Order…
Read MoreOn April 20, 2021, the Securities and Exchange Commission filed charges against Ubong Uboh and Tyler Crockett for soliciting investors to purchase…
Read MoreA direct public offering (“Direct Public Offering”) provides a viable solution to these companies. Using a Direct Public Offering to go public direct can allow…
Read MoreOn February 14, 2021, we published an article alerting the public about what we calculated to be the start of a new…
Read MoreOn August 17, 2020, Judge Marcia G. Cooke, persuaded by the SEC’s arguments, handed down an order granting the SEC’s motion for…
Read MoreAt the open of the trading session on February 11th, The Securities and Exchange Commission suspended trading in SpectraScience Inc (SCIE). It…
Read MoreOn February 4, 2021, the U.S. Securities and Exchange Commission announced charges against two associates of Rudy Giuliani, the former New York…
Read MoreOn January 8, 2021, the Securities and Exchange Commission announced settled charges against a Utah corporation, its principals, Mark W Wiseman and…
Read MoreOn November 12, 2020, President Donald Trump signed Executive Order 13959. The executive order prohibits all U.S. Investors (institutional and retail alike)…
Read MoreOn December 22, 2020, the Securities and Exchange Commission (“SEC”) voted to propose amendments to Rule 144 to eliminate tacking for shares…
Read MoreOn December 17, 2020, the US Department of Justice unsealed an Indictment against nine individuals charged in a "pump and dump" stock…
Read MoreOn Tuesday, the US Securities and Exchange Commission (SEC) approved a proposed plan by the New York Stock Exchange (NYSE) to let…
Read MoreOn Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…
Read MoreOn Friday, the U.S. House of Representatives passed a historic bill that would end the federal prohibition of marijuana. The Marijuana Opportunity, Reinvestment…
Read MoreOn December 1, 2020, the Nasdaq Stock Market LLC filed a proposal with the U.S. Securities and Exchange Commission ("SEC") to adopt…
Read MoreThe U.S. House of Representatives unanimously passed legislation on Wednesday that would kick Chinese companies off U.S. stock exchanges if they do…
Read MoreSecurities Lawyer, Thomas Craft And Disbarred Attorney, Richard Rubin Charged by SEC for Fraudulent Legal Opinions
Read MoreOTC Markets Group Inc. operates the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market for 11,606 U.S. and…
Read MoreSPACs, which stand for special purpose acquisition companies, are similar to blank check companies. The SPAC does an Initial Public Offering (an…
Read MoreWith Jay Clayton stepping down as the Chairman of the Securities and Exchange Commission at the end of the year, president-elect Joe…
Read MoreOn November 16, 2020, Jay Clayton, Chairman of the Securities and Exchange Commission, announced that he would be stepping down at the…
Read MoreOn November 19, 2020, the United States Attorney William M. McSwain filed a superseded Indictment against Jeffrey D Martin, 61, of Orlando,…
Read MoreToday, the Securities and Exchange Commission (the "SEC") charged a San Francisco-based e-commerce startup and its chief executive officer with misleading investors…
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