Penalties: $45,332.00
Respondent: Alexander Kon
Violation: After various email exchanges and phone calls between the Former CEO and Kon, they agreed that for $25,000, Kon would run a marketing campaign on Issuer A stock on April 14, 2014, via four websites that Kon operated: 1) 007stockchat.com; 2) awesomestocktips.com; 3) otcfire.com, and 4) pennystockspy.com… Read More
179 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements increased 21% over the past 30 days
FTC issued enforcements: $8,726,254.27 over the past 30 days
165 Final Rules go into effect in the next 30 days
55 Mortgage Lending docs published in the last 7 days
5330 docs with 12540 extracted obligations from the last 7 days
108 new Proposed and Final Rules were published in the past 7 days
11692 new docs in pro.compliance.ai within the last 7 days
Download the Q3 Enforcement eBook now!
Join us Feb 4th at Comply 2021