Investor Relations - Securities & Forensic Lawyers

What SEC Disclosure Is Required By Section 17(b) For Investor Relations Firms?

We are often contacted by investors, stock promoters and investor relations firms about the disclosures that must be provided in promotional websites, emails and other investor relations materials. Section 17(b) of the Securities Act of 1933 requires anyone who… Read More

Investor Alert – Messaging Apps & Pump and Dump Scams

On September 2, 2015, the Financial Industry Regulatory Authority (FINRA) issued an investor alert warning about investor relations activity and stock promotions sent through popular messaging applications (Apps) such as WhatsApp. These messaging Apps allow users to almost… Read More

What is a Penny Stock Email Campaign ?

In our digital age, sensible people know they should be wary of unsolicited financial advice, but there are still many who can’t resist the allure of the “guaranteed profits” that will be generated by a “once in a… Read More

SEC Charges Microcap Stock Promoters

Last month, the Securities & Exchange Commission (SEC) charged a trio of alleged microcap stock promoters with defrauding investors by disseminating promotional investor relations e-mails and newsletters exhorting readers to immediately buy purportedly hot stocks so they could… Read More

SEC Subpoenas 101 – Securities Attorneys

Receiving a Securities and Exchange Commission (“SEC”) subpoena is a new and uncomfortable experience for most market participants. A SEC subpoena is an indication that the Division of Enforcement is investigating potential violations of the federal securities laws. SEC subpoenas… Read More

What is Stock Scalping ? Securities Lawyer 101

Securities Lawyer 101 Blog Stock promoters often engage in what is known as stock scalping.  Stock scalping is the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security.  In recent… Read More

What Rules Apply to Investor Relations Activity?

Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price and trading volume. The person who publishes this information  is sometimes referred to as a “Stock Promoter”.  Stock Promoters engaged in… Read More

What is an Investment Newsletter?

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) recently issued an Investor Alert warning about the use of investment newsletters and emails as tools for fraud. In this digital age, sensible people know they should be wary… Read More

Geoffrey Eiten Ordered to Pay Over $700,000 In SEC Case

On October 8, 2014, the Securities and Exchange Commission (the “SEC”) announced that the U.S. District Court for the District of Massachusetts entered a final judgment against stock promoter Geoffrey Eiten.  Eiten is a defendant in an action… Read More

Penny Stock Emails 101- Securities Lawyer 101

Securities Lawyer 101 Blog Often times investor relations firms touting microcap stocks use penny stock email containing newsletters and advertisements about a stock’s potential.  Recent indictments and SEC cases have focused on the use of penny stock email… Read More