Showing posts with label PENNY STOCKS. Show all posts
Showing posts with label PENNY STOCKS. Show all posts
Monday, August 3, 2015

STOCK PRICE SPIKE INDICATED STOCK RISE SCAM ACCORDING TO SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  07/31/2015 04:30 PM EDT The Securities and Exchange Commission charged a Canadian citiz...
Saturday, July 25, 2015

3 FORMER OPPENHEIMER & CO. EMPLOYEES SETTLE SEC CHARGES RELATED TO UNREGISTERED SALES OF PENNY STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  7/23/2015 12:35 PM EDT The Securities and Exchange Commission announced that three for...
Friday, June 26, 2015

SEC CHARGES MICROCAP PROMOTER WITH ILLEGALLY SOLD PENNY STOCK USING OFFSHORE FRONT COMPANIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  06/23/2015 04:55 PM EDT The Securities and Exchange Commission charged a microcap promo...
Tuesday, November 18, 2014

SEC CHARGES THAT CEO ISSUED "FALSE AND MISLEADING PRESS RELEASES"

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a San Francisco-based penny stock company C...
Monday, November 10, 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 th...
Friday, September 19, 2014

SEC CHARGES 8 INDIVIDUALS FOR ROLES IN PUMP-AND-DUMP SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a ring of eight individuals for thei...
Friday, July 18, 2014

FINAL JUDGEMENT ENTERED IN MICROCAP STOCK SCALPING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Court Enters Final Judgment Against Promoter in Settlement of Microcap Stock Scalping Cas...
Sunday, May 18, 2014

SEC ALERTS INVESTORS TO RISKS INVOLVING MARIJUANA-RELATED COMPANIES

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FROM:  SECURITIES AND EXCHANGE COMMISSION The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn in...
Monday, March 17, 2014

EMERGENCY ASSET FREEZE ACTION FILED AGAINST MICROCAP STOCK SCALPING PROMOTER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Files Emergency Action Against Promoter Behind Microcap Stock Scalping Scheme, Obtains Asset...
Sunday, August 11, 2013

TWO FORMER OFFICERS OF DEFUNCT COMPANY CHARGED FOR PARTICIPATING IN FRAUDULENT 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 Sc...
Thursday, June 6, 2013

SEC SAYS FINAL JUDGEMENTS ENTERED AGAINST PENNY STOCK SCHEMERS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The United States Securities and Exchange Commission announced today that the Honorab...
Wednesday, March 6, 2013

SEC CHARGES CANADIAN STOCK PROMOTER WITH DISSEMINATING FALSE AND MISLEADING INFORMATION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION On March 4, 2013, the Securities and Exchange Commission filed a civil action in the Uni...
Thursday, August 23, 2012

ALLEGED ILLEGAL SALE OF STOCK SHARES IN THE PUBLIC MARKET

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION 　 Washington, D.C., Aug. 22, 2012 – The Securities and Exchange Commission today c...
Friday, July 27, 2012

MAN SETTLES CHARGES OF MARKET MANIPULATION WITH SEC

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Defendant Matthew Brown Settles Penny Stock Manipulation Charges The Securities and Excha...
Sunday, June 10, 2012

SEC ALLEGES THREE INDIVIDUALS MANIPULATED MARKET OF A STOCK

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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 Exch...
Friday, April 27, 2012

SEC OBTAINS $4.8 MILLION JUDGMENT AGAINST MARCO GLISSON, WHO WAS CHARGED WITH MAKING A MARKET IN DEREGISTERED SECURITIES OF CMKM DIAMONDS, INC.

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FROM:  SECURITIES AND EXCHANGE COMMISSION April 23, 2012 The Securities and Exchange Commission ("Commission") announced that a ...
Saturday, April 21, 2012

PENNY STOCK PROMOTERS ENJOINED AND BARRED

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FROM:  SEC The United States Securities and Exchange Commission (Commission) announced that on April 10, 2012, the Honorable Sidney A. Fi...
Sunday, February 12, 2012

FINAL JUDGEMENTS ENTERED IN STOCK MANIPULATION CASE

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The following excerpt is from the SEC website: February 10, 2012 “The Securities and Exchange Commission announced today that Chief...
Thursday, February 2, 2012

LOS VEGAS STOCK PROMOTER CONVICTED OF SECURITIES FRAUD

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The following excerpt is from the Department of Justice website: February 1, 2012 “WASHINGTON – The principal of a Costa Rican brokerage ...
Saturday, January 28, 2012

SEC ALLEGES HYPING STOCK PRICE SCHEME IN FLORIDA

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The following excerpt is from the SEC website: Washington, D.C., Jan. 26, 2012  –  The Securities and Exchange Commission today charged a...