Executive Moves
Crucible’s Moore Arrested for Falsifying Net Capital Records
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The CEO of a broker-dealer who specialized in raising capital for microcap companies was arrested in early August on three criminal charges
Legal
SEC Charges Promoters of Pot Stocks with Manipulation
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The SEC has charged four promoters with ties to the Pacific Northwest for manipulating the securities of several microcap companies, including marijuana-related stocks
Legal
John Carris Shutters in Wake of FINRA Fraud Allegations
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A New York City based broker-dealer active in equity private placements with emerging growth companies is shutting down nine months after FINRA sued it for fraud.
Markets
Buzzkill: Pot Stocks Wilt Under Regulatory Scrutiny
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After investors in marijuana-related stocks started 2014 flying high, gravity has yanked them back to earth as not-so-hard-to-anticipate consequences tied to weed’s legalization have begun to emerge.
