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Microcap Stocks

Most Recent Posts in Microcap Stocks

Dec 30, 2021 Wedbush Securities to Pay $1.2 Million Over Unregistered Microcap Sales
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Apr 10, 2019 Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct
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Sep 10, 2018 Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
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Jul 19, 2018 Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
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Jan 16, 2018 FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin
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Dec 4, 2017 Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
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Jun 21, 2017 FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme
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May 17, 2017 Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks
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Jan 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
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