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Pump and Dump Scheme
Featured
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April 10, 2019
Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct
March 14, 2019
Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud
September 10, 2018
Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
July 19, 2018
Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
March 28, 2018
SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
November 16, 2017
Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud
January 05, 2017
2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity
October 12, 2016
Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud
August 02, 2016
Ex-California Broker Daniel McKelvey Pleads Guilty in Fraudulent Shell Corporation Penny Stock Scheme
February 19, 2016
George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme
September 08, 2015
Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps
January 29, 2015
Oppenheimer to Pay $20 Million, Admit Guilt for Penny Stock Violations, Pump-and-Dump Schemes
November 04, 2014
SEC and FINRA Issue Joint Penny Stock Scam Investment Alert
September 22, 2014
SEC Charges Eight, Including de Maison, in Pump-and-Dump Penny Stock Fraud Scheme
September 19, 2014
FBI Arrests De Maison and Wilshinsky in Multi-Million Dollar Penny Stock Fraud
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 05, 2014
Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
January 23, 2014
SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
October 17, 2013
NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
October 05, 2013
FINRA Charges John Carris Investments and CEO George Carris with Fraud and Stock Manipulation
June 17, 2013
SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam
July 25, 2012
Slava Volman Pleads Guilty, Sent to Prison for Securities Fraud and Conspiracy
