Advanced Lighting Solutions, Inc. (AVLS)

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According to their August 22nd quarterly report AVLS was trying to get FINRA approval for a name change to OTC Exchange Inc and FINRA denied the request in July because of its concerns about David Stocker being a large shareholder in AVLS (see page 19)

http://www.otcmarkets.com/financialReportViewer?symbol=AVLS&id=143617

I saved just the relevant documents related to the FINRA letter and name change attempt here:

https://promotionstocksecrets.com/wp-content/uploads/2015/09/FINRAAVLS.pdf


I know David Stocker owning stock was one of the red flags I pointed out again for this ticker in my June 6, 2015 post

http://investorshub.advfn.com/boards/read_msg.aspx?message_id=114367375


Probably if not for the name change request and FINRA taking a look at this ticker and passing its concerns to the SEC, AVLS would still be trading today.



The Commission acknowledges FINRA’s assistance in this matter.

http://www.sec.gov/litigation/suspensions/2015/34-75841.pdf