Results 1 - 10 for Microcap stock fraud

COMMISSION NEWS
"The biggest microcap outfits, the real fraud factories—the Stratton Oakmonts, the Hibbard Browns, the Monroe Parkers—are gone, but the problem (of microcap stock fraud) remains ...
http://www.azinvestor.gov/news/1999/dec16-99.pdf
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QualityStocks Microcap Stock Report
Insiders Own Large Amounts of the Stock In many microcap fraud cases — especially "pump and dump" schemes — the company's officers and promoters own significant amounts of the ...
http://www.qualitystocks.net/pdfs/SECmicrocapreport.pdf
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MONTH IN REVIEW: OCTOBER 1998
Financial Institutions SEC Enforcement: Responses to GAO and SEC Recommendations Related to Microcap Stock Fraud GAO/GGD-98-204, Sept. 30 (25 pages). The Securities and Exchange Commission ( ...
http://www.gao.gov/archive/1999/pa99001.pdf
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Foreign Corrupt Practices Act (FCPA) Practice at Glance
... disclosure, auditor independence, FCPA compliance, insider trading, broker-dealer regulation and supervision, Internet fraud, microcap stock manipulation, and "prime bank" fraud.
http://www.kslaw.com/practice_areas/PaG/SpecMatters_GovInvest/FCPA.pdf
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Proposed amendments to Rule 6530 and proposed new rules 2315, 2350 and ...
more compelling than any concern that, absent this measure, perpetrators of microcap stock fraud will become active in the ADR market. NTM 98-15 invited specific comment on "whether ...
http://www.sifma.org/regulatory/comment_letters/comment_letter_archives/31189098.pdf
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SEC News Digest, 09-24-1998
For more information about the SEC's response to Microcap fraud and the litigation releases for ... MICROCAP STOCK On September 24, the Commission instituted public administrative proceedings ...
http://www.sec.gov/news/digest/1998/dig092498.pdf
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SEC News Digest, 10-23-1998
... MICROCAP FRAUD On October 20, the Commission filed an emergency action to halt the fraudulent activities of Remington-Hall Capital Corp., a Dallas based company whose stock is ...
http://www.sec.gov/news/digest/1998/dig102398.pdf
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Broker-Sponsored Online Chat Rooms:
It is these types of chat rooms that NASD Regulation President Mary Schapiro recently branded as having helped "fuel a bull market in microcap stock fraud."
http://www.morganlewis.com/pubs/A91EE823-0D16-4A58-8515757E4B995E59_Publication.pdf
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COMMISSION NEWS
State and other securities regulators report progress in the fight against "microcap" stock fraud by suspending, barring and criminally prosecuting brokers who specialize in the ...
http://www.azinvestor.gov/news/1999/may24-99.pdf
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Microcap Companies: Dark Alleys in the Wall Street
Unscrupulous Stock Promoters The mainstream stock analyst steers away from microcap issues. ... Case I: Pro Net Link: A Grand Scale of Microcap Fraud Pro Net Link (PNLK) was ...
http://uwf.edu/cob/pdf/journal/jbi2006-1.pdf
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