Author Archives: PubCoCEO Staff

Four Prestigious Firms Named April’s Platinum Sponsors of PubCoCEO™

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

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Martha Miller Delivers First Speech As SEC Advocate for Small Business Capital Formation

On March 20th, 2019, Martha Miller – SEC Advocate for Small Business Capital Formation delivered her first speech as the SEC’s new Advocate for Small Business Capital Formation. Full speech below… Martha Miller Advocate for Small Business Capital Formation Remarks at 1 Million Cups of Coffee, PlexPod in Kansas City, Missouri March 20, 2019 Thank you, Melissa [Miller] for that

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SEC Settles with Unregistered Public Shell Company Broker

Yesterday, The Securities and Exchange Commission filed settled charges against recidivist James K. McKillop for acting as an unregistered broker and for failing to timely file required beneficial ownership forms in connection with his position at Tiber Creek Corp. The SEC also separately filed related settled administrative charges against Tiber Creek and Tiber Creek’s president, James M. Cassidy. According to

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Are You Calling Your MicroCap Shareholders?

A recent post from Star Investing that focused on Small Cap ASX issuers brought up a good point with regards to calling your microcap shareholders. Many MicroCap shareholders are individual retail investors as institutional investors tend to avoid microcaps. Because of that, retail investors can be less informed about what is going on in your company and clearly communicating with

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Virtual Investor Conferences With OTC Markets Helps SmallCap Public Companies Reach Engaged Investors

In January, OTC Markets Group acquired Virtual Investor Conferences, an online investor conference series that directly connects individual investors, institutional investors, advisors and analysts with senior executives at public companies. This acquisition added to OTC Markets Group’s suite of visibility services, which include news distribution and communications services. Recognizing the need for consistent and engaging communications, Virtual Investor Conferences give

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SEC Charges Texas Oil-And-Gas NanoCap Company and Its Former CEO in Penny Stock Fraud

On March 19, 2019, the Securities and Exchange Commission charged a Texas-based oil-and-gas penny stock company and its former CEO with fraudulently concealing the loss of the company’s major source of revenue. According to the complaint, in mid-2017, Cardinal Energy Group, Inc. (“Cardinal”), based in Dallas, Texas, lost control of its interest in two oil-and-gas leases that accounted for nearly

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OTCQX Banks Virtual Investor Presentations Now Available for On-Demand Viewing

Virtual Investor Conferences, a newly acquired part of OTC Market Group’s suite of investor relations services specifically designed for more efficient Investor Access, announced that the presentations from the March 14th, 2019 OTCQX Banks conference are now available for on-demand viewing at VirtualInvestorConferences.com. LINK: https://tinyurl.com/314PostPR “Our Virtual Investor Conferences provides OTCQX Banks with a cost-effective platform to highlight their financial

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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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