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SEC Litigation Update-Federal Court Orders Officers Of Neurotech To Pay Over $314,000 SEC Litigation Update-Federal Court Orders Officers Of Neurotech To Pay Over $314,000

FEDERAL COURT ORDERS OFFICERS OF NEUROTECH TO PAY OVER $314,000 On April 1, 2011 The Securities and Exchange Commission announced that U.S. District Court Judge Thomas C. Platt adopted a Magistrate Judge’s previously-issued Report and Recommendation against Neurotech Development Corporation’s (“Neurotech”) sole officers, the father-son management team of Bernard Artz (chairman, chief ... Read More

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SEC Litigation Update–SEC v. Howard B. Wildstein SEC Litigation Update–SEC v. Howard B. Wildstein

SEC Charges Former Corporate Executive Howard B. Wildstein With Insider Trading. The Securities and Exchange Commission filed a civil injunctive action today in the United States District Court for the District of Columbia charging Howard B. Wildstein, a former Pitney Bowes, Inc. executive, with insider trading in the stock of MapInfo ... Read More

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Security Series-Frankfurt Listings 101 Security Series-Frankfurt Listings 101

Frankfurt Listings 101 In the past few years more than 3,200 United States companies have obtained listings on the FSE (“FSE”). The FSE is owned and operated by Deutsche Börse, which also owns the clearing company Clearstream. The FSE is the largest stock exchange in Germany and boasts a share ... Read More

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Clamping Down on Rapid Trades in Stock Market Clamping Down on Rapid Trades in Stock Market

Excerpt from Graham Bowley | Published October 8, 2011 | NYTIMES.COM Regulators in the United States and overseas are cracking down on computerized high-speed trading that crowds today’s stock exchanges, worried that as it spreads around the globe it is making market swings worse. The cost of these high-frequency traders, critics say, ... Read More

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Going Public by “Direct Filing” vs. Reverse Merger Going Public by “Direct Filing” vs. Reverse Merger

By: David T. Shaheen, Esq. - Partner, Burk & Reedy, LLP Self-Filing To Become Public If the objective of your company is to be public and you are not large enough to attract a big-time Wall Street underwriter for a traditional IPO, you need to consider the significant benefits of a ... Read More

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Options Writer Series — UnitedHealth Group, Inc. (UNH) Serving 75 Million People Worldwide Options Writer Series — UnitedHealth Group, Inc. (UNH) Serving 75 Million People Worldwide

By Warren Kaplan The Stock Option Writer © Warren Kaplan 2011 October 18, 2011 The request to set an option program for this security came from one of our readers. The reader had previously bought the stock below $40, sold a call at $46 and it was called away when it reached $50. The ... Read More

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Security Series–Going Public 101 Security Series–Going Public 101

Going Public Methods The creation of publicly traded securities has created more millionaires than any other venture. Even in a down economy companies seek the benefits of being publicly. While there are a variety of ways to become publicly traded each has its own unique requirements and risks. Initial Public Offering ... Read More

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Options Writer Series — Medtronics (MDT) – The Products You Need. Options Writer Series — Medtronics (MDT) – The Products You Need.

By Warren Kaplan The Stock Option Writer © Warren Kaplan 2011 October 25, 2011 This is a medical products company located in Minneapolis, Minnesota. One of our readers asked me to look into the company and to come up with an option writing strategy. I did not research the company as I let my ... Read More

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SOCIAL SECURITY CHECKS 1% TAX AT ALL BANKS SOCIAL SECURITY CHECKS 1% TAX AT ALL BANKS

( We All Better hope and pray this never passes) Can we understand that it is not how our government was originally structured but how the politicians, lawyers, progressive movement, etc have helped changed the way we look at our Constitution AND taxation, etc. It may be called a fee ... Read More

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How to Trade a Headline Driven Stock Market How to Trade a Headline Driven Stock Market

The following is an excerpt from Chris Vermeulen and J.W. Jones | Published November 7, 2011 | resourceinvestor.com With all eyes on the unemployment report and Europe, the CME Group’s PR Department nearly created an all out panic with their announcement after the market close on Friday relating to futures maintenance ... Read More

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