Nine years ago in this space we reported on the global parade of flimsy companies that securities lawyer Faiyaz Dean, with offices in Seattle and Vancouver B.C., was ushering into the U. S. stock market. Typically their business …
Bank of America Merrill Lynch, Deutsche Bank Securities, Goldman Sachs & Co. LLC and J.P. Morgan are jointly underwriting the IPO. The company generated …
The Securities and Exchange Commission settled charges on Wednesday ... for failing to file Suspicious Activity Reports or SARs for sales of billions of penny stock shares. Without admitting or denying the SEC's findings, Chardan agreed …
Mattel stock has shed 31% year-over-year ... Data from the International Securities Exchange (ISE), Chicago Board Options Exchange (CBOE), and NASDAQ OMX …
Law360 (May 15, 2018, 7:59 PM EDT) -- The U.S. Securities and Exchange Commission on Tuesday accused four individuals in New York federal court of perpetrating a $34 million penny stock scheme by making illegal trades on …
Panter Jr., and attorney Faiyaz Dean for violating antifraud and registration provisions of federal securities laws. The SEC alleges the defendants manipulated the market for and illegally sold the stock of microcap issuer Biozoom (OTC:BIZM), …
StockMarketWire.com - Small-cap-focused broker Cenkos Securities said fee income had improved after a 'disappointing' first quarter of 2018. 'We have seen an improvement in our pipeline of prospective transactions and consequently we are …
Details, released in a filing with the Securities and Exchange Commission late Thursday, say only that the investigation was begun in connection with the …
Foreigners, while less keen on Treasuries, scooped up agency securities and corporate bonds in March ... In contrast, overseas investors sold $24.15 billion in stocks in March, the biggest monthly outflow since September 2015. The S&P …
The Tel Aviv Stock Exchange has partnered with Accenture, The Floor and Intel to …