Author Archives: PubCoCEO Staff

Overview: Short Selling MicroCap Stocks On The OTC Markets

This week, Cromwell Coulson (CEO of OTC Markets Group) shared a post on the OTC Markets Blog about “Understanding Short Sale Activity.” Short selling is simply the sale of a security that the seller has borrowed. Short selling is a hot topic for microcap investors, traders, and management teams. MicroCap short selling is often credited for volume and price changes

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Is The End Of The Penny Stock Market Imminent?

In September, Bank of America banned trades of all microcaps with stock prices under $5. For some, this signaled the end of the penny stock market and prompted Richard Levick to share an article on Frobes.com titled “The End Of The Penny Stock Market Could Be Imminent.” According to Levick, “If enough other financial institutions follow suit, the penny stock

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OTC Markets Wants To Be The Exchange For Entrepreneurs

In a recent Bloomberg article about cannabis-related securities, Jason Paltrowitz explained that OTC Markets wants to be the market for entrepreneurs. Paltrowitz explained how innovative companies, like those in the cannabis space, choose OTC Markets over national exchanges because National exchanges are more restrictive, more expensive, and less beneficial for small issuers. OTC Markets has seen many international cannabis companies list on

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Prestigious Firms Sponsor PubCoCEO™ in November

We are honored to announce that six prestigious firms have supported PubCoCEO™ as Platinum Sponsors and three as Gold Sponsors in November! Lucosky Brookman, LLP (Official Law Firm), PubCo Reporting Solutions, Inc. (Official Edgar/XBRL Filing Agent), Transfer Online, Inc. (Official Founding Transfer Agent), MZ Group (Official Founding IR Firm), and Acquis Capital, LLC (Official Founding Investment Firm),  are each the Official November

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SEC Charges SeeThruEquity With Deceiving Investors in Supposedly Unbiased MicroCap Reports

Yesterday, the Securities and Exchange Commission charged a small and micro-cap stock research firm and its co-founders with defrauding investors by issuing reports purportedly based on “unbiased” and “not paid for” research when in reality they received thousands of dollars from issuers as a condition to providing each report. According to the SEC’s complaint, SeeThruEquity LLC and brothers Ajay and

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Former CEO Barred From Penny Stock Offerings For Stock Manipulation In Attempt To Uplist To Nasdaq

A federal district court in Jacksonville, Florida has barred the former CEO of a Florida-based franchisor of children’s educational programs from serving as an officer or director of a public company and from participating in penny stock offerings. The Securities and Exchange Commission charged Brian Pappas, the former CEO of Creative Learning Corp., in August 2017 with fraud for making

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Six Prestigious Firms Named November’s Platinum Sponsors of PubCoCEO™

We are honored to announce that six prestigious firms have supported PubCoCEO™ as Platinum Sponsors in November! Transfer Online, Inc. (Official Founding Transfer Agent), Lucosky Brookman, LLP (Official Law Firm), PubCo Reporting Solutions, Inc. (Official Edgar/XBRL Filing Agent & Outsourced CFO), MZ Group (Official Founding IR Firm), and Acquis Capital, LLC (Official Founding Investment Firm) are each the Official November Sponsors of PubCoCEO™ in

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Expert Analysis: Class of October and September 2018 OTC Graduates

By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP While the month of September 2018 saw four companies migrate from the OTCQX, OTCQB and OTC Pink onto national securities exchanges, October 2018 was a slower month for uplists with only one company migrating from the OTCQX to the NYSE. In September of 2018, two of those companies were small-cap companies

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SEC Obtains Preliminary Injunction in International Microcap Fraud Scheme

The Securities and Exchange Commission has obtained a preliminary injunction and continued asset freeze against two individuals and their companies involved in a scheme that generated more than $165 million of illegal sales of stock in at least 50 microcap companies. The court originally entered a temporary restraining order and asset freeze on October 2, 2018. The preliminary injunction and

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