December 21, 2022
A penny stock dealer will pay over $10.2 million in connection with U.S. Securities and Exchange Commission claims he failed to register with the regulator as a dealer despite buying and selling "billions" of newly issued shares of penny stock over a three-year period.
January 24, 2022
A Florida federal judge handed the U.S. Securities and Exchange Commission a win Friday in its suit accusing a microcap stock trader of earning $21.5 million while operating as an unregistered dealer.
August 14, 2020
A microcap stock trader must face U.S. Securities and Exchange Commission allegations that he earned $21.5 million while operating as an unregistered dealer, a federal judge in Florida ruled.
June 23, 2020
A microcap stock trader urged a Florida federal court to toss a U.S. Securities and Exchange Commission suit accusing him of reaping $21.5 million in profits while failing to register as a securities dealer, arguing the SEC's own guidelines excuse him from registering.
March 25, 2020
The U.S. Securities and Exchange Commission on Tuesday accused a stock trader of buying and selling billions of newly issued shares from microcap companies and netting $21.5 million in profits while failing to register as a securities dealer.