Stock Promoter - Securities & Going Public Lawyers

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

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

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

What is a Stock Promoter? Securities Lawyer 101

Securities Lawyer 101 Blog The securities laws contain specific rules and regulations that apply to issuers who use the services of promoters. These include disclosure obligations under the Securities Act of 1933, (“Securities Act”) and the Securities Exchange… Read More

Investor Relations & General Solicitation After the JOBS Act

Securities Lawyer 101 Blog Investor relations also known as stock promotion involves the publication of information about a public company to increase its stock price and trading volume. The person who publishes this information  is sometimes referred to… Read More

SEC Charges Caroline Winsor l Securities Lawyer 101

Securities Lawyer 101 Blog The SEC has charged Caroline Winsor, a Canadian stock promoter, Richard Walchuk, the president and Chief Executive Officer of Viosolar Inc. and Lisa Esposito, a former registered representative, in connection with the manipulation of… Read More

Investor Relations 101 l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price and trading