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penny stock lawyer

Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Rex Securities Law

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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Montana Man Sentenced in Pump/Dump Penny Stock Scam
Montana Man Sentenced in Pump/Dump Penny Stock Scam 150 150 Rex Securities Law

April 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…

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Oppenheimer to Pay $20 Million to Resolve Penny Stock Violations
Oppenheimer to Pay $20 Million to Resolve Penny Stock Violations 150 150 Rex Securities Law

January 27, 2015-Washington DC In a Press Release from the US Securities and Exchange Commission (SEC) announced that Oppenheimer & Co. will pay $10 million to the SEC and $10…

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Losses on Penny Stocks ? Investors May Be Able to Recover Damages.
Losses on Penny Stocks ? Investors May Be Able to Recover Damages. 150 150 Rex Securities Law

According to the U.S. Securities and Exchange Commission: “The term “penny stock‘ generally refers to a security issued by a very small company that trades at less than $5 per…

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