trading suspension Archives - Page 4 of 9 - Hamilton & Associates Law Group, P.A.

What is Form 211? Rule 15c-211, Sponsoring Market Maker Requirements

May 2, 2019

Locating a sponsoring market maker to file the Form 211 under Rule 15c-211 has become a challenging step in the going public…

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 Reverse Merger Shell Brokers, Tiber Creek and James Cassidy

April 11, 2019

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

April 10, 2019

SEC Charges Florida Cash Advance Company, Former CEO Carl Ruderman With Defrauding Retail Investors

September 21, 2018

SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray

August 27, 2018

SEC Charges Credit Suisse With FCPA Violations

August 26, 2018

SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies

August 25, 2018

SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records

August 24, 2018

SEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes

August 22, 2018

SEC Charges Cloud Communications Company and Senior Executives Mark Greenquist And Michael Swade With Misleading Revenue Projections

August 11, 2018

SEC Charges U.S. Congressman Christopher Collins and Others With Insider Trading

August 9, 2018

SEC Charges William McFarland and Others With $27.4 Million Offering Fraud

August 1, 2018

SEC Charges Howard Appel in Stock Manipulation Scheme

July 31, 2018

Yao Li Settles Insider Trading Charges

July 31, 2018

SEC Charges John Paulsen for Aiding & Abetting Pay-To-Play Scheme

July 30, 2018

Supreme Court Says SEC ALJ Appointments Are Unconstitutional

July 2, 2018

$102 Million Ponzi Scheme Charged By SEC

July 2, 2018

Borland Capital Group Charged by SEC – Securities Attorneys

July 1, 2018

SEC Orders Merrill Lynch to Return More than $10.5 Million to Harmed Customers

June 30, 2018

FINRA Enforcement of Non-Members and Penny Stock Issuers

June 28, 2018

Investment Banker, Woojae “Steve” Jung, Chaerged in Insider Trading Scheme

June 12, 2018

Steven Pagartanis Charged for Defrauding Customers

June 12, 2018

Beware of Custodianship Shells and Reverse Mergers

May 4, 2018

JH Darbie Charged in Calissio Resources Scam – Securities Lawyer 101

May 1, 2018

SEC Charges Beaufort Securities for Manipulative Trading in Microcap Penny Stocks

April 3, 2018

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

April 3, 2018

Sponsoring Market Makers 101 – Form 211 and 15c-211 Requirements

March 6, 2018

SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors

January 12, 2018

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