Tag Archives: transfer agents

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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