Microcap Fraud — In the News Archives

In the News Archive

• SEC Files Fraud Charges Against Microcap Company and Its CEO (December 4, 2017)
• SEC Files Charges in Alleged Microcap Fraud Scheme (October 30, 2017)
• SEC Files Fraud Charges Against Microcap Company and its Founder (October 19, 2017)
• SEC Charges Penny-Stock Operators In Push To Crack Down On Repeat Offenders (October 3, 2017)
• SEC Charges Microcap Company and its Promoters in Pump-and-Dump Market Manipulation Scheme (September 29, 2017)
• SEC Charges Unregistered Broker-Dealers and Penny Stock Company With Registration Violations For Illegal Stock Sales (September 28, 2017)
• SEC Charges Two Individuals in $17 Million Manipulation Scheme (August 2, 2017)
• SEC Charges Eight People with Fraud in Solar Energy Pump-and-Dump (August 1, 2017)
• SEC Files Fraud Charges Against Alleged Market Manipulators (July 19, 2017)
• SEC Files Fraud Charges Against Stock Promoters in Market Manipulation Scheme (June 21, 2017)
• SEC Charges Brokerage Firm with Failing to Comply with Anti-Money Laundering Laws (June 5, 2017)
• Securities and Exchange Commission v. Imran Husain, et al. (May 24, 2017)
• SEC Charges Two Individuals in Scheme to Sell Penny Stocks (May 11, 2017)
• SEC Freezes $1.2 Million In Assets From Two Chinese Citizens For Illegally Selling Penny Stock Shares (May 1, 2017)
• SEC Charges Two Lawyers and a Paralegal in a Stock Manipulation Scheme (April 13, 2017)
• Order of Suspension of Trading (April 7, 2017)
• In the Matter of Tod A. Ditommaso, Esq. (March 21, 2017)
• SEC Charges Microcap Consultant with Fraud (March 20, 2017)
• SEC Charges Career Microcap Shell Promoter (December 20, 2016)
• SEC Charges Former Chief Executive Officer of Microcap Issuer with Fraud (November 23, 2016)
• SEC Charges Israeli Accountant for Conducting a Sham IPO Offering and Five U.S. Residents for Perpetrating a Subsequent Pump-And-Dump Market Manipulation (April 26, 2016)
• Promoters of Fraudulent Oil and Gas Investments Found Liable On All Claims (March 24, 2016)
• SEC Charges New York Man with Conducting Penny Stock Manipulation Schemes (March 23, 2016)
• Diane D. Dalmy, Esq. (December 5, 2015)
• SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation (November 5, 2015)
• Attorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies (September 18, 2015)
• George Ivakhnik and The Mobile Star Corporation (September 17, 2015)
• SEC Charges Florida-Based CPA with Fraud for Issuing Bogus Audit Opinions (September 17, 2015)
• SEC Charges Man with Microcap Fraud Involving Shares of Cynk Technology Corp. (July 31, 2015)
• SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares (June 23, 2015)
• SEC Charges New York Lawyer and Two Promoters With Market Manipulation (May 26, 2015)
• Daniel P. McKelvey, et al. (April 16, 2015)
• SEC Halts Microcap Scheme in South Florida (April 9, 2015)
• SEC Files Emergency Action Against Father and Son Behind Pump and Dump Scheme, Obtains Asset Freeze (March 12, 2015)
• Default Judgment Entered Against Securities Lawyer for Forging Attorney Opinion Letters for Microcap Stocks (March 11, 2015)
• SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters (March 2, 2015)
• SEC Obtains Final Judgment Against CEO in San Francisco-Based Penny Stock Company Pump and Dump Scheme (February 26, 2015)
• SEC Settles Civil Action Against Penny Stock Company, Its Former Chief Executive Officer, and Two Penny Stock Financiers for Their Roles in Illegal Unregistered Stock Distributions and Will Continue to Litigate with a Third Penny Stock Financier (February 24, 2015)
• Caledonian Bank Ltd., et al. (February 11, 2015)
• SEC Charges Oppenheimer with Securities Law Violations Related to Improper Penny Stock Sales (January 27, 2015)
• SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies (January 15, 2015)
• SEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola (November 20, 2014)
• SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes (November 17, 2014)
• SEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-and-Dump Scheme (November 17, 2014)
• SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker (November 6, 2014)
• SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies (October 30, 2014)
• In the Matter of Registrar and Transfer Company and Thomas L. Montrone (October 31, 2014)
• Judgment Against Former CEO Orders Payment of Over $450,000 in Case Involving Scheme to Manipulate Company's Stock (October 10, 2014)
• SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings (October 9, 2014)
• SEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud
• SEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company
• SEC Charges Offshore Business and Two Individuals Behind Scheme to Conceal Ownership of Microcap Stocks
• SEC Charges Four Promoters with Manipulating Marijuana-Related Stocks and Other Microcap Companies
• SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors
• SEC Charges Florida-Based Transfer Agent and Owner with Scheming Investors
• SEC, Massachusetts U.S. Attorney, and FBI Charge Five with Attempted Manipulation of Microcap Company
• SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company
• SEC Charges Las Vegas-Based Transfer Agent With Disclosure Failures in Registration Forms
• SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme
• In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr.
• SEC Obtains Summary Judgment Win On Liability Against All Defendants in a Penny Stock Fraud Case
• FBI Undercover Operation Nets Seven Defendants in Securities Kickback Scheme
• Securities and Exchange Commission v. Jerry S. Williams, Monk's Den, LLC, and First In Awareness, LLC
• SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements
• SEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies
• SEC Charges Penny Stock Financiers and Two Public Companies With Illegal Unregistered Stock Distributions
• SEC Charges New York-Based Audit Firm and Four Accountants for Failures in Audits of China-Based Companies
• SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis
• SEC Charges Certified Public Accountant with Violating Commission Suspension Order
• SEC Charges Stock Promoters with Market Manipulation
• SEC Charges Penny Stock CEO in International Boiler Room Scheme
• SEC Charges Florida Resident with Unregistered Sales of Securities
• SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market