Today is Wednesday, August 20, 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 ... 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 — ... 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 ... 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 ... 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 ... 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 ... 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 ... 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 ... 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. ... 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 ... Read More

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