Keyword: Illegal distributions

132 results found

Respondents ordered to pay $300,000 each in penalties, disgorge profits

Scheme solicited U.S. investors, regulator says

Kimball agrees to pay $25,000 fine

  • By: IE Staff
  • January 23, 2013 January 23, 2013
  • 16:00

Regulator orders three men, Independent Academies and Micron to cease trading

JV Raleigh directors banned, fined for selling securities without being registered

  • By: IE Staff
  • January 9, 2013 January 9, 2013
  • 14:45

Unregistered trader purchased Electrolinks shares for one cent and then sold them to investors at 65 to 85 times that amount

Berkeley Coffee investors not eligible for exemption, regulator says

Regulator says firm raised $1.1 million from investors by entering into loan agreements or promissory notes

Prospectus filed with SEC did not meet requirements of BCSC

  • By: IE Staff
  • November 15, 2012 November 15, 2012
  • 14:40

Regulator alleges the firm and its two founders raised $12.4 million through and illegal distributions