Try our Advanced Search for more refined results

SEC Fines Transfer Agent For Missing Microcap Red Flags

By Ed Beeson (September 23, 2014, 5:19 PM EDT) -- The U.S. Securities and Exchange Commission on Tuesday said it has fined a New Jersey-based stock transfer agent and its former chief executive to settle claims that the firm ignored "blatant red flags" around the activities of alleged penny stock fraud, in the latest sign of the agency's pledge to crack down on so-called gatekeepers who fail to stop misconduct....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Attached Documents

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!