Penny stock

Health Firm CEO Accused of Phony Promotions
Risk & Compliance

Health Firm CEO Accused of Phony Promotions

The SEC says the head of Empowered Products hid behind an alias to recommend to investors that they buy the penny stock.
By Matthew Heller | September 7, 2016
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Ex-Fox Pundit Settles Stock Fraud Case for $258K
Risk & Compliance

Ex-Fox Pundit Settles Stock Fraud Case for $258K

The SEC says Tobin Smith made false statements about a penny stock company and failed to fully disclose his compensation.
By Matthew Heller | March 30, 2016
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Ex-Miller Energy CFO Accused of Accounting Fraud
Regulation

Ex-Miller Energy CFO Accused of Accounting Fraud

The company overstated the value of oil and gas assets in Alaska by $400 million in regulatory filings.
By Matthew Heller | August 6, 2015
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SEC Suspends Trading in 128 Shell Companies
IPOs

SEC Suspends Trading in 128 Shell Companies

Doing so puts the 128 dormant penny-stock companies out of reach of 'microcap fraudsters,' says the Securities and Exchange Commission.
By Vincent Ryan | March 2, 2015
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Ebola Microcaps Suspended From Trading
Risk & Compliance

Ebola Microcaps Suspended From Trading

The SEC halted trading in the shares of four thinly traded companies that are "purportedly involved in Ebola prevention, testing or treatment."
By Vincent Ryan | November 20, 2014
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