Diane Dalmy - Securities & Going Public Lawyers

Three SEC Stop Orders, One Mystery? Going Public Attorneys

On May 11, 2015, the Securities and Exchange Commission (“SEC”) instituted administrative proceedings against two penny stock companies, Visual Acumen, Inc., and First Xeris Corp. (FXER).  The purpose of the actions was to establish grounds for imposing stop… Read More

Securities Lawyers Gone Wild – John Briner Criminally Charged

The walls are closing in on former securities attorney John Briner.  In the past two months, he’s been criminally charged in the Provincial Court of British Columbia, sued by the U.S. Commodity Futures Trading Commission (“CFTC”), and disciplined… Read More

Penny Stock Lawyers, Auditors & Nominees Charged by SEC

On January 15, 2015, the Securities and Exchange Commission (SEC) announced charges against penny stock lawyers, auditors, and others allegedly involved in a microcap scheme involving bogus Form S-1 registration statements filed with the SEC.  According to the SEC,… Read More

SEC Shuts Down 20 Bogus S-1 Registration Statements After Promotion Stock Secrets Research Report

Securities  Lawyer 101 Blog On February 3, 2014, the Securities and Exchange Commission (“SEC”) announced the filing of stop order proceedings against 20 purported mining companies for providing false information in their S-1 registration statements. Of the 20 S-1 registration statements,… Read More

The SEC Charges Diane Dalmy, and Others in Pump and Dump Scheme

Securities Lawyer 101 Blog Securities Lawyers Gone Wild Series On July 31, 2013, the Securities and Exchange Commission (“SEC”) brought an enforcement action against securities lawyer, Diane Dalmy and other entities and individuals responsible for a pump and… Read More