All penny stocks articles

  • SEC building
    News Brief

    SEC fines OTC Link $1.2M over allegedly failing to file SARs

    2024-08-13T16:06:00Z

    New York-based broker-dealer OTC Link will pay a $1.2 million fine to settle charges levied by the Securities and Exchange Commission over allegedly failing to implement a system to monitor and report potential suspicious activities on its platforms.

  • Stocks
    Article

    Anatomy of an international, $194M ‘pump-and-dump’

    2022-04-20T17:46:00Z

    The Securities and Exchange Commission and Department of Justice separately announced charges against individuals who reaped more than $194 million in illicit proceeds through an international stock manipulation scheme.

  • Blog

    Chief compliance officer, two broker-dealers charged with AML offenses

    2018-05-16T16:30:00Z

    The Securities and Exchange Commission on May 16 announced that it settled charges against broker-dealers Chardan Capital Markets and Industrial and Commercial Bank of China Financial Services for failing to report suspicious sales of billions of penny stock shares. Chardan’s chief compliance officer was also charged.