Short Selling: What It Is, and What It Isn’t
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, Dutch East India Company, Hindenburg Research, Isaac le Maire, Lehman Brothers. SEC Chair, Muddy Waters, Naked Short, Sabby Management, SEC Action, SEC enforcement, Seeking Alpha, Short and Distort, Short Sale, Short Seller, Short Selling, short trade, Tingo Group
SEC Charges Dozy Mmobuosi, Tingo Group Inc, AgriFintech Holdings Inc. (f/k/a Tingo Inc.), and Tingo International Holdings Inc with Running a Massive Fraud
On December 18, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Mmobuosi Odogwu Banye, a/k/a Dozy Mmobuosi, and three affiliated U.S.-based entities of which he is the CEO– Nasdaq-listed Tingo Group Inc., OTC-traded Agri-Fintech Holdings… Read More
Category: Blog Posts Tags: ABTI, Agri-Fintech Holdings Inc, Alex Lightman, Alterola Biotech Inc, Brandon Kochkodin, Chris Cleverly, Craig Marshak, Darren Mercer, Deloitte Brightman Almagor Zohar, Donald Trump, Dozy Mmobuosi, Dr. Daniel Reshef, Expert Market, Forbes, fraud, fraudulent financials, Hindenburg Research, Israel, Leslie Greyling, Mmobuosi Odogwu Banye, nasdaq, Nigeria, OTC Markets, QEBR, research report, scam, SEC Attorney, SEC Complaint, SEC suspension, Short Selling, Ting INc. Agri-Fintech Holdings Inc, Tingo Foods PLC, Tingo Group Inc, Tingo International Holdings Inc, Tingo Mobile Limited, TIO, TKCM, TMNA, Token Communities Ltd, Virtual medical International Inc
New SEC Exemption from Registration for M&A Brokers
M&A BROKERS EXEMPTION In December of 2022, President Biden signed the Consolidated Appropriations Act of 2023 into law. The new law includes a “policy rider” for certain mergers and acquisitions brokers (M&A brokers) in Division AA, Title V, Small… Read More
Raymond Pirrello, Jr, Founder and Executive of Prior2IPO, Charged in Investment Fraud
On December 6, 2023, a three-count indictment was unsealed in federal court in Brooklyn charging Raymond John Pirrello, Jr., also known as “Ray John,” with securities fraud conspiracy, wire fraud conspiracy and securities fraud relating to a scheme… Read More
Category: Blog Posts Tags: Anthony DiTucci, bar, Broker, broker-dealer, criminal charges, doj, FINRA, fraud, Indictment, insider trading, JL Rivera Enterprises Ltd, Joseph Rivera, Late Stage management LLC, Lawrence Penna, Marcello Follano, Pre IPO Marketing Inc, pre-IPO, pre-IPO scam, Prior 2 IPO Inc, Prior2IPO, Raymond John Pirrello Jr, Raymond Pirrello, Robert Cassino, SEC, Securities and Exchange Commission, Thomas W. Avent Jr
Swiss Private Bank, Banque Pictet, Admits To Conspiring With U.S. Taxpayers To Hide Assets And Income In Offshore Accounts And Agrees to Pay More Than $122.9 Million
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
Why are Microcaps Trading on the NASDAQ and NYSE Exchanges?
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
LG Capital Funding Loses Motion to Dismiss
On November 13, 2023, United States District Judge William F. Kuntz, II, of the United States District Court of the Eastern District of New York made his decision in LG Capital Funding LLC’s Motion to Dismiss the Securities… Read More
Category: Blog Posts Tags: Alternative Investment Management, Boruch Greenberg, Broker, broker-dealer, Convertible Notes, Daniel Gellman, Dealer, Dilution, discount, Eli Safdieh, Exchange Act, John Lerman, LG Capital Funding LLC, Ltd., National Association of Private Fund Managers, OTC Markets, Penny stocks, SEC, Securities and Exchange Commission, Securities Attorney, toxic funding, Trading and Markets Project Inc, United States District Court, variable-rate, William F. Kuntz II
Overview of Regulation D, Rule 506(b), Rule 506(c) and other Capital-Raising Exemptions
Each offer and sale of a security must be (a) registered with the Securities and Exchange Commission (SEC); or (b) subject to an exemption from registration under the Securities Act of 1933, as amended (the “Securities Act”). The… Read More
Category: Blog Posts Tags: Accredited Investor, Bad Actor, Exempt Offering, Intrastate Rule 147, Intrastate Rule 147A, Intrastate Section 3(a)(11), raising capital, Regulation A, Regulation A Tier 2, Regulation A+. Tier 1, Regulation Crowdfunding, Regulation Crowdfunding Section 4(a)(6), Regulation CW, Regulation D, restricted securities, Rule 504, Rule 506(b), Rule 506(c), SEC, SEC Attorney, Section 4(a)(2), Securities and Exchange Commission, Securities Offering
Current Reports on Form 8-K – SEC Disclosures and Requirements
Under applicable SEC rules for periodic reporting, an SEC reporting issuer must generally report certain current events on Form 8-K within four business days after a triggering event has occurred. Current Reports on Form 8-K provide investors with … Read More
Category: Blog Posts Tags: Current Report on Form 8-K, current reports, Current Reports on Form 8-K, Form 8-K, Form 8-K SEC Disclosure and Requirements, Form 8k, material information, Public Company, SEC, SEC Attorney, SEC compliance, SEC Form 8-K, SEC Reporting, SEC reporting issuer, trigger events
The Evolving SEC Actions Against Toxic Lenders
Convertible Financing For decades, microcap issuers on the OTC Markets in need of financing have largely been forced to turn to what are known as “toxic funders” or “toxic lenders.” The money they offer comes with a hefty… Read More
Category: Blog Posts Tags: AMC, AMC ENTERTAINMENT, Big Apple Consulting, Convertible Note, Convertible Notes, CyberKey Solutions, Dilution, Financial Industry Regulatory Authority, FINRA, GameStop, GME, Lenders, nasdaq, Nasdaq Capital Market, New York Stock Exchange, OTC Markets, OTC Pink, Penny Stock, registered national securities association, RNSA, Rule 10c-1a, SEC, Securities and Exchange Commission, Securities Attorney, Toxic Funder, toxic funding, Toxic Lender
SEC Adopts new Rule 10c-1a to Increase Transparency in the Securities Lending Market
On October 13, 2023, the Securities and Exchange Commission (the “SEC“) adopted new Rule 10c-1a, which will require certain persons to report information about securities loans to a registered national securities association (RNSA) and require RNSAs to make… Read More
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
On October 10, 2023, the Securities and Exchange Commission adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments update Regulation 13D-G to require market participants to… Read More
Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets
What is a Form S-1 Registration Statement? A Form S-1 Registration Statement is the most commonly used registration statement form for the offer and sale of securities under the Securities Act of 1933, as amended (the “Securities Act”)… Read More
Category: Blog Posts Tags: broker-dealer, confidential, Confidential Form S-1, Direct Public Offering, DPO, Financial Industry Regulatory Authority, FINRA, Form S-1, Form S-1 Registered Offering, Form S-1 Registered Stock, Form S-2, Going Public, initial public offering, IPO, nasdaq, New York Stock Exchange, nyse, OTC Markets, Regulation C, Regulation S-K, Regulation S-X, S-1 registration statement, SEC, SEC Comments, SEC Division of Corporation Finance, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, Underwriter, Underwriting
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: John Feloni, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Securities Fraud, 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
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SEC Charges Wilson J. Rondini, III and two companies Rondini controls for Operating as Unregistered Broker-Dealers
On September 18, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Florida resident Wilson J. Rondini, III and two companies Rondini controls, Falcon Capital LLP and Falcon Capital Partners Limited, alleging that all three operated… Read More
Category: Blog Posts Tags: BeatClub, Boxlight Corporation, broker-dealer, CNS Pharmaceuticals Inc, Esports Technologies Inc, Falcon Capital LLP, Falcon Capital Partners Limited, Going Public, Impossible Kicks, initial public offering, IPO, Job.com, Logiq Inc, Moleculin Biotech Inc, My Job Matcher Inc, pre-IPO, Quantum Computing Inc, SEC, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Section 15(a), Securities Attorney, Securities Exchange Act of 1934, Securities Exchange Commission, Securities Fraud, Soliton Inc, Sondors Inc, StereoVision Imaging, TuneGO Inc, United States District Court for the Southern District of Florida, Volcon Inc, Weyland Tech, Wilson J Rondini III, Wilson Rondini III, World View Enterprises
OTC Markets OTC Pink Common Disclosure Issues
In 2021, OTC Markets Group provided guidance about public disclosures that companies are required to provide to reach the current information tier on the OTC MARKETS OTC Pink. Today, that information is just as relevant as ever. OTC… Read More
Category: Blog Posts Tags: 15c2-11, attorney letter, Disclosure Statement, Financial Statements, investors, otc, OTC Markets, OTC Markets Group, OTC Markets OTC Pink, OTC Markets OTC Pink Common Disclosure Issues, OTC Pink, Penny Stock, Pink Current, Pink Limited Information, Pink No Information, pink sheets, Public Company, Public Disclosures, Reporting Requirements, Rule 15c2-11, SEC, Securities Attorney
Wells Notices for Meta Materials Execs
As summer peaked at the end of July, Meta Materials (MMAT) popped back into the news. What had happened? The company filed a Form 8-K explaining that MMAT, its CEO George Palikaras. and John Brda, the former CEO… Read More
Category: Blog Posts Tags: congress, Daily List, Dividend, FINRA, Form 211, Gary Gensler, George Palikaras, John Brda, Meta Materials, Meta Materials Inc, Metamaterial Technologies Inc, Metamaterials Inc, MMAT, MMTLP, MOASS, Naked Shorts, NASD, nasdaq, Next Bridge, Next Bridge Hydrocarbons Inc, OTC Markets Group, Robert W Cook, SEC, SEC Attorney, SEC filings, Securities and Exchange Commission, Series A Preferred, Short Selling, Shorty, Spin-Off, subpoena, Torchlight, Torchlight Energy, TRCH, Wells Notice
SEC Charges Digital World Acquisition Corporation SPAC for Material Misrepresentations to Investors
On Thursday, July 20, 2023, the Securities and Exchange Commission (the “SEC“) announced settled fraud charges against Digital World Acquisition Corporation (DWAC), a special purpose acquisition company (SPAC), for making material misrepresentations in forms filed with the SEC… Read More
Category: Blog Posts Tags: Digital World Acquisition Corporation, Donald Trump, DWAC, Form S-4, IPO, SEC, SEC Action, SEC Actions, 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, SPAC, stock scheme, TMTG, Trump Media & Technology Group Corp, Truth Social
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
Former SEC Attorney and Recidivist Securities Violator Phillip W. Offill Sentenced to Prison Again
On July 12, 2023, former securities attorney Phillip W. Offill was sentenced today to six years in prison and ordered to pay $1.385 million in restitution to victims for his role in a conspiracy to defraud over 1,000… Read More
Category: Blog Posts Tags: criminal charges, Department of Justice, doj, fraud, Indictment, Mansfield-Martin Exploration Mining Inc, MCPI, Phillip W. Offill, pump 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 and Exchange Commission. SEC attorney, Securities Attorney, Securities Fraud, Securities Law Defense, stock scheme
SEC Arrives Too Late; Ponzi Scheme Polka Ends in Murder-Suicide
On February 1, 2023, three Minnesota men met in a parking lot in Bloomington, about 10 miles from Minneapolis, to discuss business. Richard B. Myre, 44, arrived first, in his black Ford F-150. He pulled into the lot… Read More
Category: Blog Posts Tags: affinity scam, All Over Nutrition, Dale Dahmen, Dominick Dahmen, FINRA, murder, O.N. Equity, Pierz Nutrition, Polka Beats, Richard B Myers, 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, Spartan Trading LLC, stock scheme, suicide
Crypto Community Takes Aim at SEC Chair Gary Gensler
As this year’s long Fourth of July holiday began, surprising “news” about Gary Gensler, chairman of the Securities and Exchange Commission, spread across social media. Its source was a blog called CryptoAlert. The headline was an attention grabber:… Read More
Category: Blog Posts Tags: crypto, Gary Gensler, 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, stock scheme
Hester Peirce Asks: Are SEC Penny Stock Bars Fair?
On June 21, 2023, the SEC announced the resolution of four administrative proceedings that had been filed against unregistered broker-dealers and associates of unregistered broker-dealers in 2019. All four respondents had defaulted on the Orders Instituting Proceedings served… Read More
Category: Blog Posts Tags: 7S Oil & Gas LLC, Administrative Order, administrative proceedings, Aegis Oil LLC, Alexander Charles White, Bad Actor, broker-dealer, dodd-frank, Financial Industry Regulatory Authority, FINRA, Hector Pierece, Hester Peirce, KT-50 wells, Mitchell B. Dow, Penny Stock, Penny Stock Action, penny stock ban, Penny Stock Bar, Penny Stock Reform Act, Penny stocks, promoter, Sarbanes-Oxley Act, SEC, SEC Action, SEC administrative actions, SEC Administrative Proceeding, SEC Attorney, sec bar, 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 Order, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Section 15(a)(1), Section 5(a), Section 5(c), Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Steven G. Blasko, stock scheme, the Exchange Act of 1933, the Exchange Act of 1934, The Securities Act, Unregistered broker-dealer, William Harper Minor
FINRA Presents the Warning Signs of a Ramp and Dump Scheme
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
SEC Charges Convertible Note Dealer, BHP Capital NY Inc, and Its Owner, Bryan Pantofel, for Failure to Register
On Thursday, June 16, 2023, the Securities and Exchange Commission (the “SEC”) announced settled charges against a convertible note dealer, BHP Capital NY, Inc., and its managing member, Bryan Pantofel, for failing to register with the SEC as… Read More
Category: Blog Posts Tags: AHRO, American Battery Metals Corp, American International Holdings Corp, AMIH, Authentic Holdings Inc, BBIG, BHP Capital NY Inc, BIMI, BIMI International Medical Inc, BLTH, BRBL, BrewBilt Brewing Co, Broker, broker-deaker, Bryan Pantofel, Cannabis Global Inc, CannaPharmaRx Inc, CarbonMeta Technologies Inc, CBGL, CELZ, Chineseinvestors.com Inc, CIIX, Convertible Note, COWI, CPMD, Creative Medical Technology Holdings Inc, Dais Corporation, Dealer, Deep Green Waste & Recycling Inc, DGWR, Digerati Technologies Inc, DLYT, DTGI, Eightco Holdings Inc, EWellness Healthcare Corp, EWLL, financing, FTE Networks Inc, FTNW, FUBO, FuboTV Inc, Generex Biotechnology Corp, GEX Management Inc, GNBT, GXXM, Healthlynked Corp, Hemp Naturals Inc, HLYK, HPMM, IINX, INTV, Ionix Technology Inc, IQST, iQSTEL Inc, KinerjaPay Corp, KOAN, KPAY, Marijuana Company of America Inc, MCOA, Mirage Energy Corp, Mitesco Inc, MITI, MMMM, MRGE, NaturalShrimp Inc, OCTO, Optec International Inc, OPTI, OTTV, PBYA, Pharmagreen Biotech Inc, PHBI, Probility Media Corp, Quad M Solutions Inc, Quatum Computing Inc, QUBT, REMSleep Holdings Inc, Resonate Blends Inc, RMSL, 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, SHMP, Stealth Technologies Inc, stock scheme, STTH, SURG, SurgePays Inc, Sylios Corp, TAUG, Tauriga Sciences Inc, TGHI, Touchpoint Group Holdings Inc, toxic debt, UNGS, Unregistered broker-dealer, Vinco Ventures Inc, Viva Entertainment Group Inc, Yangtze River Port & Logistics, YRIV
SEC Charges Auctus Fund Management LLC and Its Co-Owners, Louis Posner and Alfred Sollami, with Acting as Unregistered Securities Dealers
On June 1, 2023, the Securities and Exchange Commission (the “SEC”) announced charges against Auctus Fund Management, LLC (“Auctus Management”) and its co-owners Alfred Sollami of Brookline, Massachusetts and Louis Posner of Mansfield, Massachusetts, for failing to register… Read More
Category: Blog Posts Tags: Alfred Sollami, Auctus Fund LLC, Auctus Fund Management LLC, Convertible Notes, Custom Equity Research Partners LLC, Cyrus M Alphonse, FINRA, Louis Posner, NASD, Penny stocks, 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. toxic funder, Securities Attorney, Securities Fraud, Securities Law Defense, South Street Capital Partners, stock scheme, Unregistered Broker
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
Form S-3 Registration For NASDAQ, NYSE and OTC Markets Public Companies
Registration Statements on Form S-3 is a short form registration statement under the Securities Act of 1933, as amended (the “Securities Act”), which may be used by NASDAQ, NYSE and OTC Markets public companies for follow-on offerings and public… Read More
Category: Blog Posts Tags: Exchange Act Report, Form 10, Form 10 Registration Statement, Form 10-K, Form 8-K, Form S-1, Form S-1. Registration Statement, Form S-3, Form S-3 Eligibility, Form S-3 Registration Requirements, Form S-3 Registration Statement, Form S-3 Requirements, Form S-3 shelf registration statement, Form S-4, Going Public, Going Public Transaction, nasdaq, nyse, OTC Markets, Prospectus, Prospectus Supplement, public companies, Public Company, registration, Registration Statement, registration statements, s-3, SEC Comment, SEC reporting issuer, SEC Reporting Requirements, SEC review, Securities Act, Securities Exchange Act, Securities Offering, Selling Shareholders, Selling Stockholders, Shelf Registration Statement, Shell Companies, Shell Company, Well-Known Seasoned Issuers. WKSI