Growth Capitalist (https://growthcapitalist.com/tag/enforcement/page/8/)
The SEC said this is its first action against a broker-dealer for violating Section 5(b) of the Securities Act with an initiation of research coverage of an underwriting client.
Quest Resource Holding Corporation (NASDAQ CM:QRHC) announced that it has raised $3,341,650 in a CMPO/Overnight transaction.
Meyers Associates broker George Johnson was banned from the securities industry, while his supervisor was fined and suspended for two years, for allegedly manipulating the shares of IceWEB Inc. before Meyers arranged a private placement for the company.
Charles Moore, the founder and president of microcap brokerage firm Crucible Capital, accepted the ban under a settlement with the SEC over charges that the firm failed to maintain adequate capital and that it falsified books and records.
