OTC Markets Group Archives - Page 2 of 4 - Hamilton & Associates Law Group, P.A.

Caveat Emptor Securities Hit with a Big Setback

November 20, 2020

Last week, E*TRADE, a subsidiary of Morgan Stanley, which offers an electronic trading platform to trade financial assets including common stocks, announced…

OTC Markets Policies on Section 17(b) and Stock Promotion

February 5, 2020

Is Form 10 Registration Different than Form S-1?

January 29, 2020

Non-Traditional IPO: Direct Listing Process (DLP)

December 2, 2019

Finra Investigates BNP Paribas

November 4, 2019

SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds

October 16, 2019

What is a Penny Stock? Securities Lawyer 101

May 27, 2019

The term "penny stock" refers to a security issued by a company whose shares that trades at less than $5 per share…

SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accountotc mar

November 28, 2018

Court Enters Final Judgment in Case Against Immigration Lawyer, Steve Qi and His Law Firm

November 23, 2018

Hurricane Restoration Company and Executives Settle SEC Accounting Fraud Charges

November 21, 2018

SEC Announces Resolution of Civil and Criminal Actions Against Former CFO of Information Technology Company Alternative Reporting, Alternative Reporting Requirements, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCAX, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTC Pink Market, OTCQB, OTCQB lawyer, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act

November 20, 2018

SEC Announces Settlement in Fraud Case Against OTC Markets IIssuer and Cornelius Peterson

November 19, 2018

SEC Settles Claims Against James V. Mazzo Former Chairman/CEO of Advanced Medical Optics, Inc.

November 16, 2018

SEC Charges in OTC Markets Scam – Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research

November 16, 2018

OTC Markets Public Companies Charged With Failing to Comply With Form 10-Q Requirements

October 18, 2018

SEC Awards Almost $4 Million to OTC Markets Whistleblower

October 17, 2018

Business Services Company Barrett Business Services Inc. and Former CFO James D. Miller Charged With Accounting Fraud

October 15, 2018

SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product By Cadaret, Grant & Co. Inc.

October 14, 2018

Business Services Company Barrett Business Services Inc. and Former CFO James D. Miller Charged With Accounting Fraud

October 13, 2018

SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze From Kevin B. Merrill, Jay B. Ledford, And Cameron Jezierski

October 12, 2018

Biopharmaceutical Company Clovis Oncology Inc. & Executive Patrick Mahaffy Charged With Misleading Investors About Cancer Drug

October 11, 2018

SeaWorld and Former CEO James Atchison to Pay More Than $5 Million to Settle Fraud Charges

October 10, 2018

SEC Charges Citigroup for Dark Pool Misrepresentations

October 9, 2018

Broker-Dealer Cowen Execution Services LLC to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data

October 8, 2018

United Technologies Charged With Violating FCPA

October 6, 2018

SEC Charges Investment Adviser Tamara Steele With Defrauding Retail Advisory Clients

October 5, 2018

SEC Uses Data Analysis to Detect Cherry-Picking By Broker Michael A. Bressman Alternative Reporting, Alternative Reporting Requirements, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCAX, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTC Pink Market, OTCQB, OTCQB lawyer, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act

October 3, 2018

The Going Public Lawyer’s Guidebook – Securities Lawyer 101

September 21, 2018

SEC Adopts Amendments to Simplify and Update Disclosure Requirements

September 8, 2018

OTC Markets OTCQB, OTCQX, OTC Pink Quotation, Listing and Disclosure

July 25, 2018

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