Author Archives: PubCoCEO Staff

Upcoming MicroCap Event: National Investment Banking Association’s (NIBA) 146th Investment Conference

We recently caught up with Emily Foshee to discuss the National Investment Banking Association’s (NIBA) 146th Investment Conference scheduled for March 25th – 26th in NYC. Q&A below: When and where is the conference held? Emily Foshee: “Crowne Plaza Times Square, New York, NY.” How would you best describe the conference? Emily Foshee: “Networking Micro-cap/Small-cap Conference with company presentations, 1-on-1

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SEC Charges Attorney with Scheme to Hide Her Role in Preparing False Legal Opinions for Microcap Securities

On Thursday, the Securities and Exchange Commission charged an attorney with fraud for concealing from transfer agents and brokerage firms her involvement in preparing legal opinion letters concerning the sale of certain microcap securities. The SEC alleges that the attorney, Diane D. Dalmy, had been placed on the prohibited attorneys list maintained by OTC Markets Group, Inc., which owns and

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SEC Charges Nine Individuals and Companies for Roles in Microcap Scheme

On March 11, 2019, the Securities and Exchange Commission announced charges against nine individuals and companies in a multi-million dollar stock distribution and market manipulation scheme involving two microcap companies, NanoTech Entertainment, Inc. and NanoTech Gaming, Inc. The SEC’s complaint alleges that David R. Foley, the founder of the NanoTech companies, orchestrated a scheme to manipulate trading in their stock

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Upcoming MicroCap Event: Spring Investor Summit

We recently caught up with Tony Yu to discuss the Spring Investor Summit scheduled for April 1st & 2nd in NYC. The Spring Investor Summit was previously known as The MicroCap Conference. Q&A below: What is the event’s history? Tony Yu: “Since 2015, we’ve been hosting quality conferences with a focus on providing meetings void of service providers for the

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Expert Analysis: Class of February 2019 OTC Graduates

By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of February saw a total of five companies uplist from the OTC onto national securities exchanges. One of these companies operates in the medical devices industry, two operate in the energy sector, one operates in the consumer products industry, while another is in the cannabis industry. Below is a

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Five OTC Markets Issuers Uplisted From The OTC In February 2019

Five OTC Markets Issuers Uplisted From The OTC To senior exchanges in February 2019.  Learn more about the OTC ‘graduates’ below.   Zynex, Inc. (Nasdaq: ZYXI) On February 12, 2019, Zynex, Inc. (Nasdaq: ZYXI) uplisted from the OTCQB to the Nasdaq Capital Market. Zynex, founded in 1996, markets and sells its own design of electrotherapy medical devices used for pain management and

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OTC Markets Publishes Lists of February Compliance Downgrades & Caveat Emptor Designations

Last week, OTC Markets Group published the lists of downgrades from its OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of February. This list is part of OTC Markets’ initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that have occurred

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Prestigious Firms Sponsor PubCoCEO™ in March

We are honored to announce that four prestigious firms have supported PubCoCEO™ as Platinum Sponsors and three as Gold Sponsors in March! Lucosky Brookman, LLP (Official Law Firm), MZ Group (Official Founding IR Firm),  The WorkOut Group, LLC (Official OTC Advisory Group), and Acquis Capital, LLC (Official Founding Investment Firm),  are each the Official March Sponsors of PubCoCEO™ in their respective categories. NPC

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3 MicroCap Conferences To Attend In The Next 60 Days

There are a lot of great events in the microcap community. March and April is a particularly exciting time with some of the largest conferences taking place. Below, we look at three microcap conferences you can attend in the next 60 days. 31st Annual ROTH Conference March 17-19, 2019 | Orange County, CA Following the success of the previous year’s

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Gap In LargeCap And SmallCap Board Diversity Continues To Grow

According to new research from Morningstar, “Small-cap companies are just reaching the level of board gender diversity that the S&P 500 was at a decade ago.” Large-cap board diversity, particularly the boards of S&P 500 companies, continues to increase. Not only are smallcaps’ boards less diverse but the disparity in board gender diversity appears to be increasing through time. The

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