Tag Archives: microcap analyst

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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Intelligent IR: Research-Driven Investor Relations for Small and Microcap Companies [Guest Post]

Guest Post By: Joshua Levine & Robert Ferri On January 3, the European Union’s ambitious regulatory reforms, known as MiFID II, took effect. While the aim is to create unprecedented transparency and curb conflicts of interest, the regulation is upending security markets. Central to MiFID II is bringing accountability to the market for investment research. Under the new framework, asset managers and

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