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SUPPORTING STATEMENT for the Paperwork Reduction Act Information Collection Submission “Rule 15g-5” A. Justification (1) Necessity for Information Collection The term "penny stock" generally refers to low-priced, speculative securities that are ... Read Full Source
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Case 1:11-cr-00404-BB Document 125 Filed 12/21/11 Page 1 Of ...
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SECURITIES AND EXCHANGE COMMISSION . SECURITIES EXCHANGE ACT OF 1934 . Release No. 71967 / April 17, barred from participating in any offering of a penny stock, including: acting as a promoter, finder, co nsultant, agent or other person who engages in activities with a broker, ... Access Full Source
STATE OF ILLINOIS SECURITIES DEPARTMENT NOTICE OF HEARING Or ...
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Vlahovic participated in an offering of UMDA, which is a penny stock. 3. On June 24, finder, consultant, Administrative Proceeding: Paul D. Lemmon, Mark Valentine and Michael Vlahovic Author: US SEC ... Document Viewer
SECURITIES EXCHANGE ACT OF 1934 Release No. 72038 / April 28 ...
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Before the New York Supreme Court in People v. Michael Tripodi , Case No. 02394- 2009 (N.Y. Sup. Ct.), Tripodi pleaded guilty to one felony count of finder, consultant, agent dealer , or issuer for purposes of the issuance or trading in any penny stock, ... Retrieve Content
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Penny stock - Wikipedia, The Free Encyclopedia
Penny stocks, also known as cent stocks in some countries, are common shares of small public companies that trade at low prices per share. In the United States, the SEC defines a penny stock as a security that trades below $5 per share, is not listed on a national exchange, and fails to meet ... Read Article
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