Showing posts with label PENNY STOCKS. Show all posts
Showing posts with label PENNY STOCKS. Show all posts
Monday, June 22, 2015

SEC CHARGES OWNER AND FIRM WITH MOVING $17 MILLION IN CLIENT MONEY INTO STOCKS WHERE OWNER HAS UNDISCLOSED INTERESTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 06/17/2015 09:35 AM EDT The Securities and Exchange Commission announced fraud charges aga...
Wednesday, April 29, 2015

10 CHARGED IN PENNY STOCK FRAUD SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23243 / April 16, 2015 Securities and Exchange Commission v. Daniel ...
Tuesday, April 21, 2015

10 CHARGED BY SEC IN ALLEGED BLANK CHECK COMANIES SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound f...
Saturday, April 11, 2015

SEC OBTAINS $5 MILLION JUDGEMENT IN CASE INVOLVING PENNY STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23226 / March 31, 2015 Securities and Exchange Commission v. StratoC...
Tuesday, March 3, 2015

SEC MOVES TO THWART PUMP-AND-DUMP SCHEMES BY SUSPENDING TRADES IN 128 SHELL COMPANIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fra...
Sunday, February 1, 2015

SEC CHARGES CHICAGO COMPANY OF SELLING PENNY STOCKS WITHOUT REGISTERING AS BROKER-DEALER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a Chicago-area company that provides stock ...
Wednesday, January 28, 2015

SEC CHARGES OPPENHEIMER & CO. REGARDING THE SALE OF PENNY STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged Oppenheimer & Co. with violating ...
Thursday, November 20, 2014

SEC CHARGES 3 STOCK PROMOTERS IN ALLEGED PUMP-AND-DUMP SCHEME

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FROM:   U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged three penny stock promoters with conductin...
Wednesday, November 5, 2014

SEC, FINRA ISSUE ALERT TO INVESTORS REGARDING SHELL COMPANIES BEING SOLD AS PENNY STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the...
Tuesday, February 4, 2014

SEC SUSPENDS TRADING IN 255 SHELL COMPANIES TO FIGHT FRAUD

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FROM:  SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced the latest actions in its microcap fraud-...
Friday, January 17, 2014

"SHELL PACKING" CO. & CEO AGREE TO SETTLE FRAUD CASE REGARDING BOGUS SECURITIES SALES

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced nearly $300,000 in settlements against a...
Tuesday, November 26, 2013

TROUBLE FOR FINANCIER AND FIRMS FOR SELLING BILLIONS OF UNREGISTERED SHARES OF STOCK

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a New York-based penny stock financie...
Saturday, August 24, 2013

FINAL JUDGEMENTS ENTERED AGAINST DEFENDANTS IN STOCK MANIPULATION SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Court Enters Final Judgments by Consent Against SEC Defendants Giuseppe Pino Baldassarre an...
Tuesday, August 6, 2013

SEC CHARGES FORMER OFFICERS AND INVESTOR IN DEFUNCT COMPANY FOR ROLES IN PENNY STOCK SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Former Officers and Investor in Houston Company in Fraudulent Penny Stock Sche...
Sunday, August 4, 2013

STOCK PROMOTER TO PAY OVER $1.6 MILLION FOR INFORMATION ISSUED IN PENNY STOCK PUBLICATIONS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Massachusetts-Based Penny Stock Promoter Ordered to Pay Over $1.6 Million in Penny Stock Fra...
Sunday, March 10, 2013

ATTORNEY CHARGED WITH CHURNING OUT BASELESS LEGAL OPINION LETTERS ON PENNY STOCKS THROUGH HIS WEBSITE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Mar. 7, 2013 — The Securities and Exchange Commission today charged a ...
Monday, June 11, 2012

SEC FILES ACTION AGAINST ALLEGED PENNY-STOCK FRAUDSTERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION June 1, 2012 SEC Files Action Against Three Penny-Stock Fraudsters The Securities and E...