The Securities and Exchange Commission charged Stuart Frost of Laguna Niguel, California, and his investment advisory firm Frost Management Company, LLC, with fraud and breach of fiduciary duties for charging over $14 million in undisclosed and excessive incubator fees to start-up companies in which their advisory clients invested. According to the SEC’s complaint, Frost and […]
Monthly Archives: August 2019
Condensed Consolidated Financial Statements For the six months ended 30 June 2019 (Unaudited)
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Presentation by HKEX Chief Executive Charles Li and Group Chief Financial Officer John Killian on 2019 Interim Results Announcement
Related posts: Announcement – In relation to the matter of Pacific Andes International Holdings Limited (Incorporated in Bermuda with limited liability) (Stock Code: 1174) Cancellation of listing Appointment of HKEX Risk Management Committee (Statutory) Member Announcement – In relation to the matter of China Nonferrous Metals Company Limited (Incorporated in Bermuda with limited liability) (Stock […]
Announcement – In relation to the matter of China Nonferrous Metals Company Limited (Incorporated in Bermuda with limited liability) (Stock Code: 8306) Cancellation of listing
香港聯合交易所有限公司(香港交易及結算所有限公司全資附屬公司)THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited) ANNOUNCEMENT In relation to the matter of China Nonferrous Metals Company Limited (Incorporated in Bermuda with limited liability)(Stock Code: 8306) Cancellation of listing The Stock Exchange of Hong Kong Limited (the “Exchange”) announced that with effect from 9:00 am […]
HKEX 2019 Interim Results
Related posts: Possible offer by Hong Kong Exchanges and Clearing Limited Adjustment of Yanzhou Coal Structured Products, Futures and Options HKEX to Introduce Weekly Index Options from 16 September New Review Structure for Listing Committee Decisions and Appointment of Inaugural Listing Review Committee
FTC Obtains Telemarketing Injunctions against Recidivist Do Not Call Violators Jasjit “Jay” Gotra and His Company, Alliance Security Inc.
The Federal Trade Commission obtained a stipulated final order that permanently bans Alliance Security Inc. from telemarketing. The FTC also obtained a preliminary injunction barring Alliance’s founder and CEO, Jasit “Jay” Gotra, from telemarketing until the final resolution of the case against him. Gotra is the sole remaining defendant in a 2018 FTC case against […]
Antonio Bravata
On August 13, 2019, the Securities and Exchange Commission (“SEC”) charged Antonio M. Bravata, of Ferndale, Michigan, a recidivist securities law violator and convicted felon, with securities fraud conducted while serving a sentence for an earlier investment fraud. Bravata was previously charged by the SEC, and later by criminal authorities, for his participation in a […]
Investor Bulletin: Indexed Annuities
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about indexed annuities. Indexed annuities are complex products. Investors should carefully read the indexed annuity contract, and any prospectus, before deciding whether to buy the annuity. What is an indexed annuity? An indexed annuity is a type of annuity contract […]
Remarks at SEC’s Small Business Capital Formation Advisory Committee Meeting
Aug. 13, 2019 Thank you Carla [Garrett], members of the Small Business Capital Formation Advisory Committee, Martha [Miller], and the staff in the Office of the Advocate for Small Business Capital Formation for holding the second meeting of the Committee outside of Washington, DC.[1] It demonstrates a clear commitment to capital formation across the country. […]
Commissioner Roisman’s Remarks at the Small Business Capital Formation Advisory Committee Meeting
Aug. 13, 2019 Good afternoon. It is wonderful to see you all again. Thank you to everyone for taking the time out of your busy schedules to meet us here in Omaha. As much as I enjoy our meetings in the windowless basement of the SEC, I must say I appreciate the change of scenery.[1] […]