OTC Markets Archives - Page 7 of 17 - Hamilton & Associates Law Group, P.A.

SEC Charges Truckload Freight Company with Accounting Fraud

May 17, 2019

Former Broker Zachary Berkey Ordered to Pay SEC Disgorgement and Penalties

May 15, 2019

SEC Charges Eric Lyons For Misappropriation and Fraudulent Securities Offering

May 13, 2019

SEC Charges David Loflin in Greenway Design Pump-and-Dump

May 10, 2019

Regulation A Form 1-A Offering Circular Disclosures – Going Public Lawyers

May 9, 2019

Regulation A Form 1-A Offering Statements require line item disclosure of information about the issuer and the offering. Form 1-A is subject…

SEC Charges Kimberly Sredich with Misappropriation Scheme

May 8, 2019

SEC Charges Yuh-Yue Chen, a California Engineer with Insider Trading

May 6, 2019

SEC Obtains Final Judgments Against Joseph Meli and Parties involved in Ticket Resale Scams

May 3, 2019

SEC Charges Woodbridge Directors, Ivan Acevedo and Dane Roseman with Fraud

May 1, 2019

SEC Charges Fifteen Unregistered Brokers for Illegal Offering of Intertech Solutions

April 24, 2019

SEC Charges College Official for Fraudulently Concealing Financial Troubles from Investors

April 17, 2019

SEC Shuts Down Fraudulent Investment Advisor Who Was Targeting the Israeli-American Community

April 15, 2019

SEC Charges Investment Adviser with Long-Running Securities Fraud

April 12, 2019

SEC Settles with James K. McKillop, Unregistered Public Shell Company Broker

April 10, 2019

Former COO Fraudulently Caused Advisory Firm to Overbill Clients

April 8, 2019

SEC Obtains Final Judgments Against Investment Adviser, Goldsky Asset Management

March 29, 2019

SEC Charges Texas Radio Host for Ponzi Scheme Targeting Elderly Investors

March 27, 2019

SEC Settles with Joseph Frank Vacante, Biotech Insider Trader

March 22, 2019

SEC Obtains Final Judgment Against Joseph Frank Vacante, Former Broker for Defrauding Customers

March 20, 2019

SEC Announces Settlement Against Former Investment Adviser, James Polese

March 15, 2019

SEC Obtains Final Judgments Against Mathias Francisco Sandoval and Maria Cidre, Former General Cable Corp, CEO and Former CFO of General Cable Corp.

March 13, 2019

SEC Files Charges against Joshua Sason in Elaborate Microcap Stock Fraud

March 6, 2019

SEC Charges Cognizant and Two Former Executives With FCPA Violations

March 4, 2019

SEC Charges Former Executives of Lucent Polymers, a Plastics Manufacturer with Fraud

March 1, 2019

Court Imposes Lifetime Officer-And-Director Bars On Michael J. Kipp, Swisher’s former CFO, and Joanne K. Viard

February 27, 2019

SEC Obtains Final Judgment Against Niket Shah in Ponzi Scheme Targeting Retail Investors

February 25, 2019

SEC Charges Robert Alexander, Founder of Online Gaming Company for Defrauding Investors

February 22, 2019

OTCQX Markets Dual Listing- OTCQX Eligibility, Listing, Quotation

February 7, 2019

SEC Files Subpoena in Possible Market Manipulation Scheme

December 28, 2018

SEC Charges Taiwan-Based Insurance, China United with Fraudulent Market Manipulation Scheme

December 27, 2018

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