Today is Wednesday, December 17, 2014

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Inside Trading “The SEC is watching you” Inside Trading “The SEC is watching you”

 The United States Supreme Court's decision last year in U.S. v. O'Hagan dramatically affirmed the Securities and Exchange Commission's powers to enforce the federal insider trading laws and, as expected, has shown that the SEC continues to place a high priority on eliminating insider trading. These developments should put securities professionals, public companies and investors on notice that trading on inside information could have unexpected and dire consequences.  The "classical theory" of insider trading applies to corporate insiders, such as directors, ... Read More

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CEOs — Leave IR to the Professionals CEOs — Leave IR to the Professionals

By Scott Symons  In the beginning, there was this very energetic, intelligent individual who discovered a great product. All of his friends, relatives and acquaintances told him what a great service he could provide and how much money could be made by marketing this product. Eventually our energetic, intelligent individual — let’s call this person Mr. CEO — decided to quit his day job and take on a job that would have him working both day and night. Mr. CEO didn’t ... Read More

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A Few Words With The Chicago Resource Expo’s Rich Radez A Few Words With The Chicago Resource Expo’s Rich Radez

INTERVIEW: A Few Words With The Chicago Resource Expo’s Rich Radez The Spring 2011 Chicago Resource Expo will be held on April 15th and 16th. Originally known as the Chicago Natural Resource Conference and Exhibition, it is one of the oldest natural resource conferences in the United States. The conference is a semi-annual event and offers opportunities to learn about new and undervalued companies in the natural resource industry.  We recently spoke with Rich Radez, the founder of the Expo, and president ... Read More

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OpportunistMagazine.com Enters into Cross-Marketing Relationship with SmallCapVoice.com to Offer Companies A Wider Array of Investor Relations Services OpportunistMagazine.com Enters into Cross-Marketing Relationship with SmallCapVoice.com to Offer Companies A Wider Array of Investor Relations Services

Orlando, Florida--February 28, 2011--www.OpportunistMagazine.com; an online financial publication filled with informative content on public companies, financial news, investor tips, and more; announced today that the company has entered into a strategic cross-marketing relationship with www.SmallCapVoice.com.  The relationship will allow OpportunistMagazine.com and SmallCapVoice.com to offer an even greater range of IR services to public companies to help them connect with the investment community.  With more than one million readers, www.OpportunistMagazine.com is a valuable resource of information for investors, the financial community, and ... Read More

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Ponzi Schemes — A Long History of Fraud Ponzi Schemes — A Long History of Fraud

Before Bernie Madoff, even before its namesake, Charles Ponzi, the Ponzi scheme was a con that bilked investors.  A Ponzi scheme is an investment fraud that involves the payment of purported returns to existing investors from funds contributed by new investors. Ponzi scheme organizers often solicit new investors by promising to invest funds in opportunities claimed to generate high returns with little or no risk. In many Ponzi schemes, the fraudsters focus on attracting new money to make promised payments to ... Read More

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The SEC’s Penny Stock Rules The SEC’s Penny Stock Rules

The Security and Exchange Commission (SEC) defines penny stocks as stocks that are priced under $5 and are traded on the Pink Sheets or the OTC Bulletin Board. You can also trade these stocks via foreign and other securities exchanges. The rules established by the SEC to help regulate the trade of penny stocks include: ● The brokerage house must secure a written agreement from their client about the transaction, and the client must be in a position to complete this agreement. ● ... Read More

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NAVIGATORS INTERNATIONAL AND FORMER PRESIDENT LIABLE FOR $70,000 IN FRAUDULENT BOND FUNDING SCHEME NAVIGATORS INTERNATIONAL AND FORMER PRESIDENT LIABLE FOR $70,000 IN FRAUDULENT BOND FUNDING SCHEME

NAVIGATORS INTERNATIONAL AND FORMER PRESIDENT LIABLE FOR $70,000 IN FRAUDULENT BOND FUNDING SCHEME The SEC announced that U.S. District Court Judge Nancy F. Atlas entered two final judgments in a civil action involving Navigators International Management Co., Ltd., a Bahamian corporation. Navigators, without admitting or denying the Commission's allegations, consented to entry of a Final Judgment that finds the corporation liable for payment of $45,000 under Securities Act Section 20(d) and Exchange Act Section 21(d)(3). James R. Spurger, the company's former president, ... Read More

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LANDOAK SECURITIES AND PATRICK L. MARTIN ORDERED TO PAY $992,140 LANDOAK SECURITIES AND PATRICK L. MARTIN ORDERED TO PAY $992,140

The SEC announced that U.S. District Court Judge Thomas W. Phillips entered a judgment against LandOak Securities, LLC (“LandOak Securities”) and Patrick L. Martin (“Martin”). LandOak Securities and Martin were ordered to pay disgorgement in the amount of $880,512.16, plus prejudgment interest of $111,628.38. The judgment further provides that if the parties cannot agree on whether a civil penalty should be imposed or the amount of any such civil penalty, the Commission may file a motion requesting that the Court determine ... Read More

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THE PONZI SCHEME UPRISING THE PONZI SCHEME UPRISING

In 1992 the Democratic Party of Albania won the first free elections in Albania, and Sali Berisha became president. Albania was becoming a liberalized economy after years under a controlled economy. The rudimentary financial system became dominated by Ponzi schemes, and government officials endorsed a series of pyramid investment funds. The schemes were actually fronts for money laundering and arms trafficking. By January 1997, the number of investors had grown to include two-thirds of the Albanian population of three million. The ... Read More

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Sharpen Your Telephone Skills and Increase Business Sharpen Your Telephone Skills and Increase Business

By Jim Dillahunty In today's highly competitive brokerage environment, superior telephone skills can make major contributions toward maintaining productive client relationships and increasing business. Financial planners and registered representatives who take the time and effort to develop mastery of their telephone skills can improve their bottom lines at virtually no cost and dramatically set themselves apart from the competition. There are three compelling reasons why every financial professional must maintain their firm's telephone skills at the highest professional levels. First the telephone ... Read More

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