Securities Law 
ENFORCEMENT PROCEEDINGS – In the Matter of Douglas G. Frederick – TMCnet
Frederick of Brighton, Michigan. The Order finds that Frederick acted as a broker without SEC registration in willful violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by extending sponsored market access to …
Consolidated Communications Announces Pricing of Senior Notes to Fund SureWest Acquisition – msnbc.com
The Notes will be offered in the United States to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended (the “Securities Act”), and outside the United States pursuant to Regulation S under the Securities … Continue reading
Senate Testimony Of SEC Chair Schapiro Updates Dodd-Frank Derivatives Progress – Forbes
On May 21, 2012, Securities and Exchange Commission Chair Mary Schapiro … of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Her remarks are published online at “Testimony on Implementing Derivatives Reform …
Ontario securities regulator accuses Sino-Forest and execs of fraud – YAHOO!
Sino-Forest is accused of overstating its assets and revenue. OSC staff also allege that former Sino-Forest chief financial officer David Horsley did not comply with Ontario securities law and acted contrary to the public interest. The OSC and a special … Continue reading
Shepherd Smith Edwards & Kantas LLP Recovers Investor Losses in A & O Resource Management, Investigates Claims of Other Investors – msnbc.com
HOUSTON, May 22, 2012 (GLOBE NEWSWIRE) — Lawyers with the Securities Law Firm SHEPHERD SMITH EDWARDS & KANTAS LLP, www.sseklaw.com , have successfully recovered on behalf of investors in A & O Resource Management, and are investigating and …
The Troubles With The New Crowdfunding Law? – jdsupra.com
Everyone is very excited about the new crowdfunding-for-securities law. Crowdfunding is a great idea–in concept. And now we have a new law which is about to make crowdfunding for securities a reality, at least in some sense. The trouble? The … Continue reading
Prominex Resource Corp. Amends terms of 11,000,000 Unit Private Placement at $0.05 per Unit – msnbc.com
The securities proposed to be offered in the private placement have not been registered under the U.S. Securities Act of 1933, as amended, or any State securities laws, and may not be offered or sold in the United States or … Continue reading
Morgan Creek Energy Announces Change In Directors and Management – Yahoo Finance
For further information see: www.morgancreekenergy.com THIS NEWS RELEASE CONTAINS “FORWARD-LOOKING STATEMENTS”, AS THAT TERM IS DEFINED IN SECTION 27A OF THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED, AND SECTION 21E OF THE UNITED STATES …
EastBridge Investment Group Announces Shareholder Conference Call on Thursday, May 24, 2012 – msnbc.com
and other statements that are not descriptions of historical facts may be forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933 and Section 21E of the Securities … Continue reading
Home Health International, Inc. Completes Acquisition of DME Company – msnbc.com
Forward-Looking Statements This press release contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended and such forward-looking …
