Penny Stock Broker Links

SEC Delays Decision on NYSE Proposal to Attract Retail Orders - BusinessWeek

SEC Delays Decision on NYSE Proposal to Attract Retail Orders BusinessWeek 8 (Bloomberg) -- The US Securities and Exchange Commission extended its review today of the New York Stock Exchange's proposal to draw more orders from retail brokers. NYSE and NYSE Amex sought permission in October for a one- year pilot program to ... and more »

Securities bureau says Portsmouth firm illegally sold stocks - Seacoastonline.com

Securities bureau says Portsmouth firm illegally sold stocks Seacoastonline.com According to the BSR, an examination of the Portsmouth Oppenheimer branch, conducted by state auditor William Masuck, revealed that “several brokers, including the branch supervisor, purchased the same penny stock as several clients.” Penny stocks are ... Oppenheimer Fined $155k for Selling Penny StocksPatch.com Oppenheimer to pay penny stock penaltiesThe Union Leader Oppenheimer to pay $155000 for illegal sale of penny stocks at Portsmouth ...Foster's Daily Democrat all 6 news articles »

How One Broker Hypes Facebook Pre-IPO: Greenberg - CNBC.com

How One Broker Hypes Facebook Pre-IPO: Greenberg CNBC.com It's the over-the-top promotion of private companies that makes Felix seem more like a penny stock boiler room than a respectable broker dealer. “That's your opinion,” Mazzola told me today when I suggested as much to him.” Our customers are accustomed ... and more »

SEC Charges Fla. Firm In Penny Stock Scheme - Financial Advisor Magazine

SEC Charges Fla. Firm In Penny Stock Scheme Financial Advisor Magazine The SEC sued First Resource Group, LLC and its sole manager, David H. Stern, 48, of Tamarac, Fla., in federal court on Thursday for using telemarketers from December 2008 to May 2010 to fraudulently solicit brokers to purchase stock in TrinityCare ... SEC Alleges Telemarketing Stock ScamCourthouse News Service all 5 news articles »

SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme - NewDesignWorld (press release)

SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme NewDesignWorld (press release) The SEC alleges that First Resource Group LLC and its principal David H. Stern employed telemarketers who fraudulently solicited brokers to purchase stock in TrinityCare Senior Living Inc. and Cytta Corporation. While recommending the securities in ... and more »