Tag: manipulation

This Week In Securities Litigation (Week ending September 8, 2017)

p>In the period beginning the week before the Labor Day holiday and the week following it, the Commission brought a series of actions which included three insider trading actions. One involved an attorney who used information about the positions of

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Trying To Get Listed on NASDAQ By Marking-the-Close

The goal was to get the pink sheets traded firm listed on NASDAQ. A key requirement is that the share price be at or above $2.00 for ninety consecutive trading days. Two former and one current registered representative schemed to

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