Companies Mentioned

C. Jones & Company

Category
Title
Summary
Date
Summaries
Securities Law >
New Settlements and Verdicts

CO District Court Issues Separate Judgments of Guilt and Acquittal in “Pump and Dump” Stock Suit
The SEC’s complaint alleged that in the fall of 1999, Miles provided a broker-dealer with false information to be filed with the National Association of Securities Dealers (“NASD”), now called Financial Industry Regulatory Authority (“FINRA”), in order to initiate public trading of securities issued by Freedom’s predecessor company. The complaint…
Date of ruling:
03/6/2009