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I have used 100's of types of lures including kastmasters and so on. I try and match the bait.
Have you noticed the action at $alkn? Some accumulation is going on. Any way to find out what's going on behind the scene? I Like surf casting too. Try a Kastmaster with a bucktail. Best ever.
Good old Carol with the danskins scam.
OMG! How long ago was that?
Triumph Apparel Corp (TRUA)
0.001 ? 0.0009 (900.00%)
Volume: 5,742
first trade in years!
Someone trying to raise cash to buy Marge's knickers?
Business Details Entity Details
Business Name: NATE'S PANCAKES INC. Business ID: 2014051200651
Entity Type: Domestic For-Profit Corporation Business Status: Active
Creation Date: 05/12/2014 Business Entity Report Due Date: 05/31/2016
Principal Business Office Address: 15061 SPRINGDALE STREET, SUITE 113, HUNTINGTON BEACH, CA, 92649, USA Expiration Date: Perpetual
Domicile State: Indiana
Incorporators Information
Title Name Address
Incorporator NATE STECK 5061 SPRINGDALE STREET, SUITE 113, HUNTINGTON BEACH, CA, 92649, USA
Registered Agent Information
Type: Individual
Name: MATT BILLINGTON
Address: 355 WEST VAN BUREN, , BERNE, IN, 46711 - , USA
Details
Name Nate's Food Co.
Status Good Standing Formation date 01/12/2000
ID number 20001007090 Form Corporation
Periodic report month December Jurisdiction Colorado
Principal office street address 15061 Springdale Street,, SUITE 113, Huntington Beach, CA 92649, United States
Principal office mailing address 15061 Springdale Street,, SUITE 113, Huntington Beach, CA 92649, United States
Registered Agent
Name David J Cutler
Street address 12191 West 26th Avenue, Suite 205B, Arvada, CO 80004, United States
Mailing address 12191 West 26th Avenue, Suite 205B, Arvada, CO 80004, United States
I fish all around Barnegat bay, especially surf fishing. I was there until the Friday before Sandy.
I remember talking to you when Sandy hit. My brother got hit in deal.nj. saw you pop up on bets. Conversion dumping done. Have friends I grew up with in long lsland. Nice to c you. It's my pleasure to share my thoughts.
Elisha L. Frank
Assistant Regional Director
Miami Regional Office of the Securities and Exchange Commission
(305) 982-6392
COBI - Scam will crash hard. Going to .0001 soon!
B) you have contradicted your own point in section A. You assert that a company needs to be "current" in order to reverse split. Not true. If this non-reporting company doesn't report, whom would they get current with??? Hope you don't mean OTCMarkets because that's a non regulatory, for profit, propaganda supporting website. It's in no way affiliated with any regulatory agency (where one SHOULD look for info) and its contents have literally zero weight
fink Member Level Saturday, 02/13/16 04:20:07 PM
Re: investor229 post# 41119
Post #
41125
of 41125 Go
I'm in so many 'No Brainer' plays, it makes me sick every passing month.
But NHMD is a No Brainer.
Going all in now.
Sub .002 will not be seen again.
Mark this post!
markopolo191 Saturday, October 10, 2015 1:50:30 PM
Re: surfkast post# 20435 Post #
20436
of 20436 Go
you can bring up some garb information everything but this going to a penny
Respond | No replies
Do some DD on Talari. It would take hours to post all of it. Start with Facebook thrests! LOL!
Hey Surfkasts, what information do you have on FWDG that have you thinking it's a scam?
Researching Regulation T and FINRA Rule 4210(c), would clearly bring a realistic view as to why shorting OTC securities rarely happens and is never a large enough amount to even warrant discussion.
HAPPY JULY 4TH! REMEMBER OUR CURRENT SOLDIERS AND OUR VETERANS!
Green Money 00 Member Level Sunday, 06/28/15 01:45:11 PM
Re: None
Post # of 90909
Why marijuana stocks might go up in smoke
Consumer Reports
6 hours ago
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If you’re like many investors, you always have an eye out for the next big growth market. If you can get in early, you might be able to profit handsomely—maybe even make a killing. For many, the market for marijuana stocks, much like the market for tech stocks in the early 1990s, seems to offer such an opportunity.
The main reason is that the marijuana market is growing rapidly. Over the past year, retail sales in Colorado alone generated about $700 million, almost half of which came from sales of medical marijuana. Cannabis is now legal in four states, with perhaps five more planning to join them in 2016. Twenty states allow the use of medical marijuana. It seems clear that the trend will continue and that marijuana will become a multibillion-dollar industry.
Dozens of cannabis companies have sprung up as a result of a wave of legalization and decriminalization. Investors can now bet on them through so-called marijuana stocks—and do they ever. When laws legalizing marijuana in Colorado and Washington state went into effect, shares in many of those companies soared.
But it wasn’t long before they came crashing down. The harsh reality is that if you buy shares in pot stocks today, your investment stands a good chance of fizzling out.
Part of the reason has to do with how marijuana stocks, also known as penny stocks, trade. Medical Marijuana (MJNA), Cannabis Science (CBIS), and GrowLife (PHOT), to name a few of the largest, trade on the over-the-counter market. The companies that register them are subject to almost no listing requirements and are barely regulated by the Securities and Exchange Commission or the Financial Industry Regulatory Authority (FINRA). (A number of legitimate foreign firms are on the OTC market for reasons of convenience, but that’s another story.) Those companies don’t have to file reports with the SEC, so reliable information about their income statements and balance sheets can be difficult for investors to come by.
Think you've spotted the next big trend? Read "An alternative approach to investing in stocks."
That makes the OTC market a kind of Wild West of capitalism and a great place for con artists to run “pump and dump” schemes, luring investors into stocks with promises that the market for marijuana will soon be worth billions of dollars. As investors pile in to buy the shares, the stock prices rise. Then the con artists sell their shares for a profit while small investors watch their holdings disappear as the stock plummets.
Such behavior led the SEC to put temporary trading halts on five of the better-known marijuana stocks last year: Fusion Pharm (FSPM), Cannabusiness Group (CBGI), Advanced Cannabis Solutions (CANN), Petrotech Oil and Gas (PTOG), and GrowLife. The reasons included doubts about the accuracy of financial information, potentially illegal sales of securities, and market manipulation.
Another problem: Some of the people who run the companies have less than stellar backgrounds. Medical Marijuana in San Diego, for example, was founded by Bruce Perlowin, who spent nine years—from 1983 to 1991—in prison for smuggling marijuana into San Francisco from Colombia. And a board member at the company was arrested for possession in Alabama in 2013. Perlowin is now CEO of Hemp, based in Las Vegas, which would like to become a leader in the industrial hemp industry.
Another pot executive, Michael Llamas, the former president of Medical Marijuana, was indicted by a federal grand jury in 2013 for his involvement in mortgage fraud that caused $10 million in losses. He has pleaded not guilty.
Given that many marijuana companies have dubious financial records and questionable management, and that they’re influenced by con artists, it’s surprising that any investor would be interested. Yet there continues to be considerable interest in the subject on Internet forums and a bevy of activity. Some stocks, such as Cannabis Science, trade more than a million shares per day. Even GrowLife, which went from 50 cents per share to 3 cents before the SEC temporarily halted trading, has an average daily trading volume of 1.6 million shares.
But investors shouldn’t be fooled into thinking that they can handle the risk just because the penny stocks trade for, well, pennies. They also shouldn’t be swayed by the incredible gains the companies have had because their losses were equally incredible. Wait to see whether marijuana is legalized at the federal level. If that happens, there will be legitimate publicly traded companies in which to invest.
More from Consumer Reports:
Best cars for making it to 200,000 miles
6 costly estate planning minefields and how to avoid them
Best places to buy large and small appliances
Consumer Reports has no relationship with any advertisers on this website. Copyright © 2006-2015 Consumers Union of U.S.
http://finance.yahoo.com/news/why-marijuana-stocks-might-smoke-100000969.html
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=114991489
#1559080 * * $MJMJ Video Chart 06-26-15 * * ClayTrader 06/28/15 09:02:51 AM
#1559079 * * $RXMD Video Chart 06-26-15 * * ClayTrader 06/28/15 09:01:53 AM
#1559078 * * $DNRG Video Chart 06-26-15 * * ClayTrader 06/28/15 09:01:45 AM
#1559077 * * $ADMD Video Chart 06-26-15 * * ClayTrader
#1559076 * * $SIRGQ Video Chart 06-26-15 * * ClayTrader 06/28/15 09:00:49 AM
#1559075 * * $SUTI Video Chart 06-26-15 * * ClayTrader
06/28/15
#1559073 * * $UGAZ Video Chart 06-26-15 * * ClayTrader 06/28/15 08:59:30 AM
#1559072 * * $UWTI Video Chart 06-26-15 * * ClayTrader 06/28/15 08:58:46 AM
#1559071 * * $PSID Video Chart 06-26-15 * * ClayTrader 06/28/15 08:58:37 AM
#1559070 * * $STEM Video Chart 06-26-15 * *
How difficult it is to sell short OTC stocks in the last several years? First, no "hedge fund" nor any offshore brokerage can "naked short" anything - they can only sell short through a US market maker and they are required to put up $2.50 in margin for each share of an OTC stock they wish to sell short - and the shares must be available for borrow, as they must be delivered on day T+3.
So the idea that some "hedge funds" are now short-selling any significant amount of a OTC stock is pretty ridiculous. Do the math with a $2.50 cash margin deposit to sell short a $0.01 stock.
FWDG IS IN THE PROCESS OF PULLING OFF A MAJOR SCAM WITH THIS DIVIDED NONSENSE IN MY HUMBLE OPINION. PPS SHOULD CRASH HORRIBLY. WE SHALL SEE.
integral Member Level Wednesday, 10/22/14 09:47:42 AM
Re: monda2frida post# 17026
Post # of 17058
Embr was a shell, and since it has not provided any audit on any business combination, it still is a shell.
The SEC already told Wade or Mezey or whatever his name is, that a horse does not satisfy "shell company" status pursuant to the Securities Act Rule 405.
So changing his name and moving the horse to a different shell will not change things.
So it was a shell, and the 71 day period is not offered to shell companies in a business combination.
Trying to change his name and the name of the shell to circumvent the SEC is not smart. We will just make sure the staff attorney for EMBR talks to the staff attorney for the other shell in which he tried this stunt so they can get on this BS right away.
4 days has come and gone, where is the acquisition/business combination 2.01 on Form 8K?
integral Member Level Wednesday, 10/22/14 09:33:16 AM
Re: monda2frida post# 17024
Post # of 17058
Reverse mergers are to be treated as a business combination, and audited. Since Joseph Wade Mezey, Esq. had an issue with the same horse in 2006, EMBR is still a shell, the SEC already opined on it. This audit in a business combination with a shell corporation does not even provide for a 71 days, it was required to be published on Form 8K with audited financials within 4 days from the transaction.
Also, they need to account for what exemption was used for tax purposes on the stock swap, this has IRC and SEC implications.
This is a huge problem now.
integral Member Level Wednesday, 10/22/14 09:47:42 AM
Re: monda2frida post# 17026
Post # of 17058
Embr was a shell, and since it has not provided any audit on any business combination, it still is a shell.
The SEC already told Wade or Mezey or whatever his name is, that a horse does not satisfy "shell company" status pursuant to the Securities Act Rule 405.
So changing his name and moving the horse to a different shell will not change things.
So it was a shell, and the 71 day period is not offered to shell companies in a business combination.
Trying to change his name and the name of the shell to circumvent the SEC is not smart. We will just make sure the staff attorney for EMBR talks to the staff attorney for the other shell in which he tried this stunt so they can get on this BS right away.
4 days has come and gone, where is the acquisition/business combination 2.01 on Form 8K?
integral Member Level Wednesday, 10/22/14 09:33:16 AM
Re: monda2frida post# 17024
Post # of 17058
Reverse mergers are to be treated as a business combination, and audited. Since Joseph Wade Mezey, Esq. had an issue with the same horse in 2006, EMBR is still a shell, the SEC already opined on it. This audit in a business combination with a shell corporation does not even provide for a 71 days, it was required to be published on Form 8K with audited financials within 4 days from the transaction.
Also, they need to account for what exemption was used for tax purposes on the stock swap, this has IRC and SEC implications.
This is a huge problem now.
STEVEN52 Saturday, 09/21/13 01:59:55 PM
Re: downtowndentalclinic post# 32668
Post # of 44939
The following is part of an SEC complaint, filed by a GYST shareholder, requesting an investigation on possible insider trading violations, manipulation of share (security) prices and possible fraudulent investment scheme effectuated on investors by the Graystone Company Inc (GYST). The company used fraudulent advertising and misleading press releases (PR) to con investors into buying its securities for almost a year, up until May, 2013, the company executives fraudulently pumped up the price of its securities to entice and commit fraud on investors. Please review the following samples of their fraudulent advertising and press releases:
GYST News: Graystone Company Announces Company Expansion Of Suriname Operations
06/17/2013 09:00:00 AM
GYST News: Graystone Company Announces Corporate Update
06/05/2013 09:25:00 AM
GYST News: Graystone Company Announces Suriname Venture Has Processed 200 Tons of Material
05/21/2013 09:00:00 AM
GYST News: Graystone Company Announces It Is On Track To Double Production in Peru
05/20/2013 09:00:00 AM
GYST News: Graystone Company Announces Suriname Update
On their website, they continue to market their shares by posting false and misleading information. For example, they continue to say that as of January 2013, the company has “according to the S1 filing, the current outstanding share count is 381,221,678.
As of August 28, the current outstanding share count is 2.1 billion.
Additionally, the company executives engaged in insider trading practices by selling large amounts of shares just prior to significant decreases in share prices. The company engages in such fraudulent activities by selling off/converting/cancelling loans to associates by exchanging large amounts (blocks) of shares for loans outstanding. On August 27, the company announced that the wife of Paul Howarth, the company’s CEO, had acquired ownership of a large block of securities. The company filed a statement of beneficial change of ownership by allegedly transferring large blocks of shares to Paul Howarth’s wife. The company is asserting that Howarth’s wife is a managing partner in Renard Properties, a company that allegedly loaned GYST a large amount of money. This action appears to be manipulative and highly suspicious.
Explanation of Responses:
( 1) These shares are owned by Renard Properties, LLC. Mr. Howarth does not own or manage any part of Renard Properties, LLC. This statement is fraudulent. In their most recent quarterly financial report in early August, the company asserts the exact opposite. “During the Six Months ended June 30, 2013, $93,750 was recorded to related party payables from amounts paid on behalf of the Company by Renard Properties, for accrued salaries and consulting fees. $79,568 was repaid against these payables resulting in an ending balance of $79,628. Paul Howarth, our CEO, is the managing member of Renard Properties.”
In the statement of change of ownership for securities, Howarth misleading says that he is not part of the ownership of Renard Properties. However, Mr. Howarth's wife is the managing partner of Renard Properties, LLC and thereby pursuant to Rule 13-d3 Mr. Howarth is deemed to be a beneficial owner of Renard Properties and based on application of Rule 13-d3 needs to report the transactions and holdings involving Renard under his name even though he does not own or manage Renard or have any power to do business in Renard's name.
( 2) These shares are owned by Mr. Howarth's wife. Mr. Howarth does not own or have any power to dispose of these shares. However, pursuant to Rule 13-d3 Mr. Howarth is deemed to be a beneficial owner of this shares and as such needs to report these shares based on application of Rule 13-d3,under his name even though he does not own or have the right to dispose of these shares.
Also, to circumvent SEC regulations, the company filed a statement of beneficial change of ownership on the same day, asserting that large amounts of shares were owned by family members and other associates of Joseph Mazey, the company’s CFO. Joseph Mazey is also identified in company documents as Joseph Wade. This perhaps is to mislead the SEC. These shares allegedly were owned by Mazey, and ownership subsequently transferred.
Explanation of Responses:
( 1) These shares are owned by officers Company in which he owns 100% of and has the sole power to vote and dispose of this (sic) shares.
( 2) These shares are owed by officers family and through Rule 13-d3 officer has decided to disclose this shares as they could be determined to be beneficially owned by officer through the application of Rule 13-d3
In early August, 2013, GYST filed its most recent quarterly report in which it was revealed that the company engages in highly suspicious accounting practices to hide or conceal insider trading and fraud.
The following statements by GYST on Related Party Transaction appear to indicate intent to defraud investors by accepting loans from associates and cancelling same for large blocks of securities, which resulted in the deflation of the value of the securities.
On March 8, 2013, the Company issued 31,500,000 of our Class A Common Stock to Renard Properties for services rendered. The price per shares $.003 for $94,500 in bonus payment for achieving pre-determined mining goals. Paul Howarth, our CEO, is the managing member of Renard Properties.
On March 8, 2013, the Company issued 31,500,000 of our Class A Common Stock to Joseph Wade for services rendered. The price per shares $.003 for $94,500 in bonus payment for achieving pre-determined mining goals.
On March 18, 2013, the Company issued 5,000,000 of our Class A Common Stock to Joseph Wade for services rendered. The price per shares $.0028 for $14,000 in bonus payment for achieving pre-determined mining goals.
On March 18, 2013, the Company issued 5,000,000 of our Class A Common Stock to Paul Howarth for services rendered. The price per shares $.0028 for $14,000 in bonus payment for achieving pre-determined mining goals.
On June 19, 2013, the Company issued 187,500,000of our Class A Common Stock to Paul Howarth for $45,000 in debt. The price per share was $.0008. The shares are restricted for 24 months from the issuance. A loss of $105,000 was recorded on the issuance.
On June 19, 2013, the Company issued 187,500,000of our Class A Common Stock to Joseph Wade for $45,000 in debt. The price per share was $.0008. The shares are restricted for 24 months from the issuance. A loss of $105,000 was recorded on the issuance.
6
________________________________________
Table of Contents
During the Six Months ended June 30, 2013, $93,750 was recorded to related party payables from amounts paid on behalf of the Company by Renard Properties, for accrued salaries and consulting fees. $79,568 was repaid against these payables resulting in an ending balance of $79,628. Paul Howarth, our CEO, is the managing member of Renard Properties.
During the Six Months ended June 30, 2013, $93,750 was recorded to related party payables from amounts paid on behalf of the Company by JW Group, for accrued salaries and consulting fees. $55,000 was repaid against these payables resulting in an ending balance of $41,271. Joseph Wade, our CFO, is the President of JW Group
During the Six Months ended June 30, 2013, the Company borrowed $67,880 in cash from Renard Properties and repaid $31,606 in cash leaving a balance of $112,950 owed to Renard Properties. Paul Howarth, our CEO, is the managing member of Renard Properties. These loans bear no interest and are due in December 2013.
During the Six Months ended June 30, 2013, the Company borrowed $45,319 in cash from JW Group and repaid $47,963 in cash leaving a balance of $3,589 owed to JW Group. Joseph Wade, our CFO, is the President of JW Group. These loans bear no interest and are due in December 2013.
NHMD/SEC LETTER
October 8, 2014
Via Facsimile
Nate Steck
Principal Executive Officer
Nate’s Foods Co.
15061 Springdale, Suite 113
Huntington Beach, California 92649
Re: Nate’s Foods Co.
Registration Statement on Form 10-12G
Filed July 29, 2014
File No. 0-52831
Dear Mr. Steck:
We have completed our review of your filing. We remind you that our comments or
changes to disclosure in response to our comments do not foreclose the Commission from taking
any action with respect to the company or the filing and the company may not assert staff
comments as a defense in any proceeding initiated by the Commission or any person under the
federal securities laws of the United States. We urge all persons who are responsible for the
accuracy and adequacy of the disclosure in the filing to be certain that the filing includes the
information the Securities Exchange Act of 1934 and all applicable rules require.
Sincerely,
/s/H. Roger Schwall
H. Roger Schwall
Assistant Director
dark for like 4 years now. Probably get revoked sooner than later.
Absolutely nothing.. Which is the way i. Prefer it lol.. Bottom bounce potential?
What is going on with Baytos?
Ready for another round of VRED gains?
Posted by: boneraddler
In reply to: surfkast who wrote msg# 1212 Date:2/14/2015 2:13:55 AM
Post #1220 of 1220
Thanks Surf! You will make me millions, because of you I own BOATLOADS of NHMD, TREN, and EMBR. Holding til my kids graduate so they can be rich....and they are in diapers...lol
NHMD POST
montycantsin Saturday, 02/07/15 04:56:11 PM
Re: Iwannabmwi8 post# 20150
Post # of 20236
several of the PRs have been released by 3rd party share holders.
$NHMD
QUOTE FROM TenKay: The daily short volume information is perhaps BOTH the most misunderstood and misrepresented data in the penny stock world. It is functionally MEANINGLESS to any question of open short positions or short interest and it is certainly completely meaningless to the mythical massive hidden NSS conspiracies.
Anyone who thinks it means a penny stock is being "shorted" is either lying OR quite simply doesn't know the difference between "short volume" and "short interest".
THIS BACKS UP THE STATEMENT!
Elizabeth M. Murphy, Secretary
U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090
Re: Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site; File Number SR-FINRA-2009-064
Dear Ms. Murphy:
The Commission recently published for comment a "Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change" relating to the publication of certain daily and monthly short sale data on the FINRA web site. According to the filing, FINRA is not proposing any changes to the By-Laws, Schedules to the By-Laws, or Rules of FINRA.
The purpose of this comment letter is to raise a concern about the data FINRA proposes to publish. The filing notes that the "SEC staff stated that it believes that the publication of this data, and the resulting increased market transparency, may help bolster investor confidence and thereby help promote capital formation."
This is a laudatory goal. However, it is important to note several factors about the data that may impact market transparency, and therefore investor confidence, relating to Commission and FINRA reporting requirements. These factors are in addition to the possible data imperfections pointed out by FINRA in the filing. Presumably the intent of daily and monthly short sale information is to make transparent the volume of stock actually sold short, thus impacting the amount of short interest in the security, and reflective of the amount of stock that must be borrowed. However, with respect to broker-dealer proprietary sales, especially when acting in the capacity of market makers and block positioners, such trade volume information may not always depict accurately the quantity of stock sold short. It may tend to over-count such volume, and therefore, if published, unnecessarily impact investor confidence in an unforeseen way. To be clear, I am not suggesting that no data be published. Rather, the Commission and FINRA should consider reviewing and addressing short sale recording and reporting requirements so they are more meaningful.
One of the primary functions of broker-dealers is to act as intermediaries for investors that are buying or selling stock. Often, to carry out that function, broker-dealers will handle such investor orders on a riskless principal basis. A riskless sale is one in which a broker-dealer, after having received an order to sell a security, sells the security as principal, at the same price, to satisfy that order. Regulations require broker-dealers to mark their proprietary riskless sell order as short if they don't own the security, even if the customer order to sell the security is long. Since broker-dealers generally don’t maintain a position, a significant number of such riskless sales are reported as short, even though the customer is selling long, and the broker-dealer intends to and will buy the shares from the long selling customer immediately after the proprietary riskless short sale takes place. Typically, the broker-dealer's position is short for considerably less than one second.
I don't know how much of these short sales can be attributed to long sellers where broker-dealers are effecting the transactions on a riskless basis. But FINRA knows, or at least could make a good estimate using OATS information. An OATS execution report is required, among other things, for every customer order filled on a riskless basis and related OATS records indicate whether the investor order was for a long or short sale. It might be sensible to conduct such a review prior to publishing this data.
In addition, the SEC recently updated their guidance concerning how sell orders are to be marked, indicating that pending sell orders, but not pending buy orders, be taken into account when determining whether a sale is long or short. This guidance does not take into account the probability that the orders will be executed, or the firm's position at the time of execution. As a result of such guidance proprietary and market maker sell orders and trades will be marked short when the firm is actually long, not taking into account pending sell orders. At the end of the day, the firm may well end up flat, meaning that they have no position in the instrument.
Accordingly, the marking of sell orders as short by market makers, block positioners, and broker-dealers effecting riskless principal transactions may not always accurately reflect what has transpired, and publishing data derived from these transactions may not increase market transparency and bolster investor confidence. FINRA appears to acknowledge these constraints by noting in the filing that
"information relating to market maker [or supplemental liquidity provider] status is not currently included in the trade report submission; thus, FINRA currently is unable to separately identify the trades of equity market makers [and supplemental liquidity providers] in the monthly short sale transaction file. Therefore, the "short type" field will include a value of "S" in all cases."
FINRA knows, or can determine, whether a firm is a registered market maker in specific instruments. However, determining whether a firm is a block positioner may not be practical. A more straight-forward way of recording and reporting sell orders and transactions by market makers, supplemental liquidity providers, block positioners, and other broker-dealers effecting riskless principal transactions could be considered by the Commission and FINRA.
Since the reporting of short sales by these market participants is problematic and not useful in terms of market transparency, and since, importantly, these market participants are generally afforded exemptions from having to borrow stock when effecting short sales, all such sell orders and trades could be marked with a specific designation other than that of a long or short sale, such as a sale made or order entered in connection to market making, riskless trading, or acting as a block positioner. Then, the daily and monthly short sale information published by FINRA would in a more meaningful way reflect true short selling activity taking place.
Sincerely,
Jess Haberman
https://www.sec.gov/comments/sr-finra-2009-064/finra2009064-1.pdf
Elizabeth M. Murphy, Secretary
U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090
Re: Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site; File Number SR-FINRA-2009-064
Dear Ms. Murphy:
The Commission recently published for comment a "Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change" relating to the publication of certain daily and monthly short sale data on the FINRA web site. According to the filing, FINRA is not proposing any changes to the By-Laws, Schedules to the By-Laws, or Rules of FINRA.
The purpose of this comment letter is to raise a concern about the data FINRA proposes to publish. The filing notes that the "SEC staff stated that it believes that the publication of this data, and the resulting increased market transparency, may help bolster investor confidence and thereby help promote capital formation."
This is a laudatory goal. However, it is important to note several factors about the data that may impact market transparency, and therefore investor confidence, relating to Commission and FINRA reporting requirements. These factors are in addition to the possible data imperfections pointed out by FINRA in the filing. Presumably the intent of daily and monthly short sale information is to make transparent the volume of stock actually sold short, thus impacting the amount of short interest in the security, and reflective of the amount of stock that must be borrowed. However, with respect to broker-dealer proprietary sales, especially when acting in the capacity of market makers and block positioners, such trade volume information may not always depict accurately the quantity of stock sold short. It may tend to over-count such volume, and therefore, if published, unnecessarily impact investor confidence in an unforeseen way. To be clear, I am not suggesting that no data be published. Rather, the Commission and FINRA should consider reviewing and addressing short sale recording and reporting requirements so they are more meaningful.
One of the primary functions of broker-dealers is to act as intermediaries for investors that are buying or selling stock. Often, to carry out that function, broker-dealers will handle such investor orders on a riskless principal basis. A riskless sale is one in which a broker-dealer, after having received an order to sell a security, sells the security as principal, at the same price, to satisfy that order. Regulations require broker-dealers to mark their proprietary riskless sell order as short if they don't own the security, even if the customer order to sell the security is long. Since broker-dealers generally don’t maintain a position, a significant number of such riskless sales are reported as short, even though the customer is selling long, and the broker-dealer intends to and will buy the shares from the long selling customer immediately after the proprietary riskless short sale takes place. Typically, the broker-dealer's position is short for considerably less than one second.
I don't know how much of these short sales can be attributed to long sellers where broker-dealers are effecting the transactions on a riskless basis. But FINRA knows, or at least could make a good estimate using OATS information. An OATS execution report is required, among other things, for every customer order filled on a riskless basis and related OATS records indicate whether the investor order was for a long or short sale. It might be sensible to conduct such a review prior to publishing this data.
In addition, the SEC recently updated their guidance concerning how sell orders are to be marked, indicating that pending sell orders, but not pending buy orders, be taken into account when determining whether a sale is long or short. This guidance does not take into account the probability that the orders will be executed, or the firm's position at the time of execution. As a result of such guidance proprietary and market maker sell orders and trades will be marked short when the firm is actually long, not taking into account pending sell orders. At the end of the day, the firm may well end up flat, meaning that they have no position in the instrument.
Accordingly, the marking of sell orders as short by market makers, block positioners, and broker-dealers effecting riskless principal transactions may not always accurately reflect what has transpired, and publishing data derived from these transactions may not increase market transparency and bolster investor confidence. FINRA appears to acknowledge these constraints by noting in the filing that
"information relating to market maker [or supplemental liquidity provider] status is not currently included in the trade report submission; thus, FINRA currently is unable to separately identify the trades of equity market makers [and supplemental liquidity providers] in the monthly short sale transaction file. Therefore, the "short type" field will include a value of "S" in all cases."
FINRA knows, or can determine, whether a firm is a registered market maker in specific instruments. However, determining whether a firm is a block positioner may not be practical. A more straight-forward way of recording and reporting sell orders and transactions by market makers, supplemental liquidity providers, block positioners, and other broker-dealers effecting riskless principal transactions could be considered by the Commission and FINRA.
Since the reporting of short sales by these market participants is problematic and not useful in terms of market transparency, and since, importantly, these market participants are generally afforded exemptions from having to borrow stock when effecting short sales, all such sell orders and trades could be marked with a specific designation other than that of a long or short sale, such as a sale made or order entered in connection to market making, riskless trading, or acting as a block positioner. Then, the daily and monthly short sale information published by FINRA would in a more meaningful way reflect true short selling activity taking place.
Sincerely,
Jess Haberman
https://www.sec.gov/comments/sr-finra-2009-064/finra2009064-1.pdf
Dan L. Gootee, Martin Mair, Roy Tegtow, Bruce Gogg, Wayne Bailey,Barbara Thomas Kirkton Shoop, Hugh Pobur and Jerry Genschorck
Renee Member Level Thursday, 01/01/15 10:45:22 AM
Re: Renee post# 79015
Post # of 82478
Complete list of SEC suspended stocks from January 1st, 2010 to January 1st, 2015. In the past 5 years there have been 2094 SEC Suspensions where ALL stocks were sent to the Grey Sheets. Of the 2094 Suspended stocks 804 remain on the Grey Sheets and 1290 stock registrations were Revoked.
Note: The SEC occasionally files Administrative Proceedings and subsequent Registration revocations without suspending a stock.
There are two types of SEC Suspensions, one for SEC Filers that are delinquent in filing any Financials. The SEC Suspension is always accompanied with an Administrative Proceeding outlining the Financials delinquencies. Those stocks will have their stock registrations revoked under DEFAULT or other Admin Law Judge reasons when the delinquent Financials are not filed as ordered by the SEC. Stocks in this category will remain on the Grey Sheets until the SEC Admin Law Judge revokes the stock registration.
The second type of SEC Suspension involves questions about adequacy and / or accuracy of company information, including news releases, share issuances, stock promotions, whatever else the SEC may allege. This group comprises SEC Filers or non-filers, ie., stocks that do not report to the SEC but periodically report to OTC Markets. NOTE: stocks that do not have stock registrations with the SEC cannot be revoked but can have their stock symbol deleted by FINRA. Stocks suspended under QUESTIONS about adequacy and accuracy of information will remain on the Grey Sheets until the SEC litigates against the company, which may take years to occur, or when FINRA deletes the symbol.
NOTE: Delinquent SEC Filers (ie., no current Financials) are usually sent from the SEC reporting OTCBB to the non-reporting OTC Markets. It is imperative to differentiate between delinquent SEC Filers on the OTC from the non-reporting stocks on the OTC. Even if an SEC Filer submits Financials to OTC Markets but has not filed Financials to the SEC for an extended period of time those stocks WILL eventually be suspended and thereafter have their stock registrations REVOKED!! The first due diligence on any OTC stock is to check with EDGAR to see if that stock is registered with the SEC and if the stock is a delinquent SEC Filer. If a stock is a severely delinquent SEC Filer DO NOT BUY THAT STOCK under any circumstances, exampled by the 1290 delinquent filers that were suspended or ordered by an SEC Admin Proceeding to file Financials and were subsequently revoked.
http://www.sec.gov/edgar.shtml
http://www.sec.gov/edgar/searchedgar/companysearch.html
NOTE: Of the 2094 Suspended stocks only EDVP (now PRLX) got off of the Grey Sheets, a very rare occurrence. It is perilous to think that any other Grey Sheet stock will get off of the Grey Sheets.
Note: The 804 stocks that remain on the Grey Sheets do not have any Market Maker representation or quotations.
NOTE: Foreign Issuers may also be on the Grey Sheets until they obtain Regulatory approvals to be listed on any U.S. Exchange.
Foreign Issuers on the Grey Sheets are NOT to be confused with, or compared to OTCBB or OTC stocks that are specifically on the Grey Sheets due to an SEC Suspension or an SEC Admin Proceeding.
Grey Sheet stocks: *** Comprised of SEC Filers pending stock revocation and non-filers pending SEC Litigation.
ABLE, ACDU, ACGJ, ACLH, ADEC, ADPC, AECS, AEGY, AEHI, AENP, AERN, AFLO, AGDO, AGHD, AGMB, AGSC, AHBY, AHII, AKSY, ALLD, ALMY, ALRY, AMNE, AMOG, AMUC, ANFDE, AMRA, ANVH, ANWM / PIPI, APAT, APRM, APSN, AQIS, AQMT, ARTD, ASCBQ, ASMFQ, ASPR, ATPL, AUFR, AVNE, AXMA, BAXF, BAZH, BBMF, BCCC, BCPO, BEYSQ, BFBL, BFLD, BFIT, BFTC, BGMO, BIFC, BIZM, BLUF, BLOAQ / BLIAQ, BRHC, BTSR, BTXV, BXLH, BZRT, BUERF, CABE, CANN, CBGI, CBRAF, CBRB, CCBD, CDFT, CDIV, CDTN, CENV, CGUE, CHHN, CHIL, CHJI, CHMO, CHMR, CHWD, CLBN, CLGZF, CLOR, CLYW, CMCJ, CMDJ, CMDL, CMEY, CMNO, CMTN, CNDD, CNTO, CPOB, CPTO, CPVD, CRHY, CRLY, CRNY, CRPT, CRUI, CSBF, CSTJ, CSYS, CTCC, CTCK, CTTD, CVSC, CVVT, CYCHZ, CYDS, CYGX, CYLN, CYNK, CYRS, CYXI, DALN, DAVNQ, DDSU, DFMCF, DHSM, DKIN, DLAD, DLGI, DMAR, DMEC, DNAG, DPED, DPER, DTCO, DTEK, DUCP, DVNO, DYMTF, DYXC, EACC, ECAM, ECNI, ECNT, EFFC, EGBS, EGIL, EGMI, EGVIQ, EHSO, EHYD, EIGH, ELGT, EMCO, EMOC, EMPX, EMXC, ENCS, EPEO, EPGRQ, ERHI, ERUC, ESIV, ESLP, ESNY, EVFB, EVSO, EWPI, EXER, FBBF, FDNU, FEDP, FEPU, FFHN, FFIRD, FGBF, FKLN, FMFN, FMOR, FNAT, FNTSF, FPCNB, FPMC, FRTD, FSON, FSPM, FTMK, FUEG, FVSTA, GAHI, GATT, GBMS, GBSV, GEER, GEET, GEFI, GEPC, GFMIF, GGBL, GHIL, GITH, GLER, GLOV, GMPD, GMSC, GNVN, GOCH, GOGC, GPLS, GRGR, GRPI, GRYW, GSLO, GSRS, GSTV, GSTZ, GTGP, GWPC, HBOI, HCNVQ, HGAT, HGMG, HMBT, HMGP, HPGI, HPGS, HRLSQ, HSCO, HTEE, HTRE, HYGN, HYII, HYNLZ, IBDI, IBIE, IBIN, IDCN, IDMV, IESO, IFAC, IFBV, IFST, IFTI, IGPG, IIDG, ILAS, IMAG, IMGR, IMIZ, IMMB, IMTC, IMUT, INAX, INVA, IOMT, IOTG, IPEX, IREP, ISDN, ISON, ISYI, ITDD, ITGB, ITHH, ITMUQ, ITRB, IVAP, IVVI, IWRI, IXEH, IXMO, IZML, JNMB, JNPC, LNBO, KLSC, KMAG, KKUR, KRAT, KRVR, LBSV, LDFI, LGSL, LGYH, LHRP, LIFS, LKPL, LLEG, LODG, LRRA, LTTV, LVCC, LWSL, LXHD, MANW, MBAY, MBEI, MBIF, MBST, MDBS, MDDD, MDDM, MDNT, MDOR, MFIN, MGSR, MHCO, MHGI, MIKP, MLDS, MLGT, MLKNA, MMAB, MMCO, MNEM, MNTY, MPAL, MSDG, MSGI, MSHE, MSLM, MSTF, MTGC, MTPH, MTEK, MXFD, MYHA, MYRA, MYRY, NCVL, NDDG, NDVR, NGBF, NEP, NGTY, NHSP, NKRN, NMFS, NMGP, NNCP, NNET, NORX, NPER, NRWS, NSEO, NTUR, NVGC, NVTN, NWOL, NXRA, NYVA, OBEE, OBNI, OFEK, OGNG, OLIE, ONYX, OPTZ, OROB, OSSI, OTFT, OXFO, PABN, PACT, PANC, PAWH, PBAH, PBLSQ, PCIR, PCWT, PEDU, PGFY, PGIE, PGNE, PGOI, PHOT, PHXMF, PMTT, PNGB, PNSR, POLR, POPM, POPT, PPDC, PPJN, PPTL, PREMF, PRHB, PSGI, PTOG, PUDA, PVEN, PWEI, PXIA, QCPC, QMCG, QMED, QSGI, QXM, RADG, RCTY, RDXM, RENE, RFPX, RINO, RKLC, RKNW, RKTI, RLXI, RNCP, ROSD, RPCX, RROLQ, RSPNQ, RTWW, RVHC, RVPL, RXEI, SAEI, SAVW, SBSS, SCPT, SCPV, SCTZ, SDRG, SEPI, SETY, SGLN, SHDBQ, SHSO, SIDGQ, SIVO, SKRV, SKTO, SKYL, SLCO, SLIA, SLTC, SMNG, SNYL, SODH, SOLI, SONP, SOPV, SPPH, SPTS, SRGE, SRPX, SSMH, STIN, STMC, STOA, SUBB, SUHI, SVSE, SVXA, SWMX, SWZH, SYAI, SYHI, SYNI, SYRA, SYZG, TAMB, TCCC, TCIX, TDAF, TECO, TEKCQ, TEKI, TFZI, TIDE, TIGC, TINV, TJSS, TMTP, TNRI, TNSP, TRBI, TRIS, TUIC, TUYU, TWDG, TWHI, TWOS, TWWI, TXNM, ULFS, UNMG, UPSN, URGP, USAE, UWBKQ, UWKI, VCMP, VCOC, VERD, VHGI, VIPPS, VITK, VKPW, VOLT, VTST, VZIL, WERU, WHQIQ, WIFM, WIFT, WKYN, WLIA, WLKF, WLSV, WOAM, WSTN, WTRO, WWDA, WWEB, XAIN, XING, XNSR, XTMM, XUII, XYTS, YESD, ZENG, ZIPG, ZLUS, ZMGD, ZMNL.
Plus 379 shell companies Suspended and sent to the Grey Sheets so that the shells could not be hijacked by fraudsters to set up a scam stock. As of January 1, 2015 the SEC has revoked dozens of stock registrations from this group.
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=78010860
Suspended SEC Filers sent to the Grey Sheets and then revoked:
AADG, AADI, AAGH, AAMA, AAMC, AANI, AAUI, ABEW, ABFIQ, ABPH, ABNS, ABVV, ACCS, ACEL, ACIE, ACII, ACLY, ACMY, ACPIQ, ACQY, ADAPQ, ADDL, ADDM, ADEH, ADGD, ADGR, ADMH, ADNW, ADOT, ADRN, ADSO, ADSPQ, ADSU, ADVP, ADVR, ADVT, ADWT, ADYE, ADZR, AEGI, AEGZF, AEHZF, AENA, AEND, AENP, AENS, AENYQ, AERP, AEXG, AEYS, AFFI, AGCI, AGEL, AGLV, AGMS, AGNM, AGRT, AGSI, AGVO, AGWS, AHGIQ, AIDO, AIOD, AISIQ, ALYNQ, AHDI, AHCKF, AHNCQ, AHSI, AITX, AKGC, ALLP, ALTF, AKMN, AKRK, AKYI, ALTO, ALTUQ, AMCG, AMCI, AMCO, AMGU, AMHI, AMIT, AMNT, AMST, AMUG, AMWT, AMWW, AMXIQ, AMZO, ANSVQ, ANTS, ANTXQ, AODG, AOOR, AOTL, APAB, APAR, APDTQ, APHG, APHTQ, APLI, APNN, APPS, APLS, APAT, APCU, APRJ, APSOQ, APWR, ARTEQ, APVE, APWD, APWR, APXR, AQAS, AQUA, AQRO, ARGA, ARFR, ARGW, AROX, ARSP, ARTS, ARUR, ASAP, ASCD, ASRPF, ASDV, ASTR, ASVPQ, ASYI, ATCS, ATGR, ATLR, ATPAQ, ATSC, ATVE, AUCX, AULO, AUNI, AURC, AUSPF, AVCP, AVIT, AWCL, AVAF, AVATQ, AVBD, AVCS, AVEC, AVEN, AVLN, AVMC, AVMD, AVNA, AVNU, AWEC, AWSH, AWYI, AXIU, AXNO, AXPL, AXSI, AZHI, BAEA, BATTQ, BBAN, BBDC, BBGR, BBKH, BBVUF BBVVF, BCFT, BCHM, BCME, BDEV, BDTE, BDYT, BEER, BEIC, BFAR, BFNBQ, BGBR, BGOI, BHCG, BHMNF, BHQU, BHWX, BIOHF, BIOW, BISYQ, BJGL, BKRSQ, BLDH, BLFE, BLGW, BLKL, BLLN, BLPT, BLSH, BLZE, BMCP, BMSTA, BMTL, BNIO, BOCX, BPIL, BPMA, BPTR, BPWRF, BRCI, BSKO, BSTR, BTIOQ, BVYH, BOLDQ, BPURQ, BRHI, BRMC, BRVO, BSIO, BSKS, BSKT, BSMLQ, BSVN, BSYT, BTRX, BUGS, BUNSQ, BWAY, BWTRQ, BYBUF, BYDSQ, BXMNF, BZEC, CAAUF, CABLF, CACL, CADMQ, CADQF, CADQF, CADV, CAEH, CAGM, CAGTF, CAHR, CATN, CAVO, CBCI, CBEH, CBIU, CBSO, CBTT, CBYG, CBZFF, CCIG, CCMC, CCNG, CCSI, CCYS, CDDJ, CDGD, CDLVF, CDVT, CDWR, CDXP, CDYT, CEAH, CECU, CEIW, CELP, CENK, CENMF, CEPO, CETH, CFGI, CGHI, CGSC, CGXP, CHBT, CHDA, CHFK, CHGL, CHKT, CHMO, CHNN, CHVC, CHWM, CIAQQ, CIGR, CILE, CINT, CJCL, CJYF, CKDN, CKEI, CKGT, CKRU, CLCI, CLMI, CLNW, CLRA, CLRH, CLSC, CLTT, CLWL, CLXM, CLYV, CMDA, CMEC, CMEDQ, CMGR, CMIV, CMKT, CMTK, CNAG, CNEP, CNFU, CNOA, CNPI, CNSC, CNVP, CNWD, COES, COGC, COMA, CORR, COUGF, CPBXQ, CPCF, CPCIQ, CPFR, CPTCQ, CPWT, CPYE, CQPT, CRCS, CREBQ, CRGO, CSHZ, CRII, CRNM, CRST, CRSVF, CRTCF, CRTP, CRTV, CRYFQ, CSEF, CSGI, CSGJ, CSIS, CSKH, CSLG, CSNT, CSNW, CSNY, CSYI, CTGI, CTGLF, CTHH, CTHL, CTHS, CTLH, CTYF, CTQN, CTTY, CTZN, CXOT, CUPR, CUTC, CVBT, CVGC, CVIT, CVLL, CWBS, CWBYF, CWEY, CWLZ, CWOI, CWYR, CYDC, CYGE, CYKN, CYOS, CYSA, CYSG, CYTGF, CYTL, CYXN, DAWN, DBTB, DBYC, DCIU, DCNMQ, DCPT, DDVS, DECO, DESCQ, DFGRF, DGHG, DHCC, DHMS, DHPIQ, DIAC, DIGSQ, DIOMQ, DIRX, DJJI, DKTH, DLGO, DLKR, DLPC, DMAT, DMCP, DMEI, DMNM, DNYFF, DRGG, DRMX, DRYN, DSEN, DSHL, DSIIQ, DSRM, DSYT, DTAS, DTIM, DUKS, DUNS, DVID, DVINQ, DVNNF, DVRH, DVSH, DXXFF, DYHCS, DYNP, DYMTF, DYOUF, DYTB, EAGB, EBLC, ECEC, ECGA, ECHTA, ECLN, ECOG, ECTA, EDBR, EDLT, EDVC, EENT, EGCFF, ECGR, ECIN, ECRD, EDFY, EESV, EGHDQ, EGLSQ, EGMIQ, EGXF, EIUS, EKII, EMBR, EMCC, EMDAQ, EMDY, EMED, ENCO, ENCP, ENCZQ, ENET, ENLG, ENLU, ENSL, ENVI, ENWN, EPCG, EPIX, EPFL, EPRC, EPTI, EPXR, EQEU, EQMDF, EQUUS, ERDIQ, ERGB, ESAN, ESCI, ESIMF, ESNI, ESVC, ESYE, ETLC, ETLT, ETNLQ, ETOP, ETLS, EUGD, EUGS, EUSI, EVOPQ, EVSC, EVSD, EXDL, EXGN, EXOU, EXPX, EXTC, EXTI, EVAN, EXCS, EYES, EYTCQ, FAMH, FCEN, FCNR, FCON, FCPN, FCRI, FCRS, FCRZ, FEEDQ, FFDH, FFGO, FGCC, FGHH, FGOCQ, FHCI, FIIH, FILM, FITI, FITT, FLRB, FLRP, FLSCQ, FMNG, FMRX, FNLH, FLIP, FLMG, FLMS, FLWE, FNSCQ, FNSPQ, FNXC, FODL, FORBQ, FOUR, FPBI, FPBN, FPFCQ, FPNDQ, FPRN, FRAE, FRBE, FRDM, FRLE, FRTW, FSSU, FSTH, FTBK, FTMC, FTMTQ, FTNW, FTRLQ, FUFW, FUNW, FUQI, FUTR, FXPT, GACFQ, GAFC, GAHI, GAIMF, GAMT, GAPN, GAXIQ, GAZU, GBIR, GBKF, GBLT, GBMT, GBPM, GBRC, GCAN, GCMI, GCOG, GEEVF, GENG, GENU, GEPT, GETC, GFMIF, GDTGF, GDTK, GDTT, GFME, GGPC, GHII, GIMC, GLBT, GLDI, GLGH, GLGSQ, GLIF, GLMA, GMATF, GMED, GMEX, GMFCF, GMML, GMPM, GMSL, GMXS, GNCE, GNCN, GNMN, GNTAQ, GNVHQ, GNXE, GNYS, GOCO, GOCM, GOEG, GPSNQ, GRDB, GRLC, GRLY, GRPK, GRSR, GRTK, GTAP, GTCC, GTCN, GTSM, GTVCF, GUGO, GUPR, GVEC, GWES, GWGI, GWIR, GWLKQ, GWOW, GWSC, HABE, HAXS, HCNP, HDRX, HELI, HENL, HEVE, HFGB, HGCO, HGFNQ, HIET, HIRI, HLXC, HMDO, HOSTQ, HOTJ, HOTM, HPMFF, HPRD, HRAI, HRCT, HRTE, HRZB, HSPO, HSYT, HTEC, HTLJ, HTOG, HTPI, HTMXQ, HWRK, HWWI, HYDGQ, HYDP, IAGI, IARO, IASCA, IBBD, IBCO, IBNKQ, ICFO, IBNW, ICCW, ICII, ICPR, ICRB, ICSM, IDAI, IDCO, IDCX, IDEH, IDGI, IDIBQ, IDIFF, IDII, IDPIQ, IELE, IFCC, IFMX, IFSG, IFSL, IGAI, IHGO, IKGI, IMBI, IMDS, IMED, IMEN, IMGM, IMIIQ, IMIRQ, IMMFF, IMMP, IMTKA, IMPX, IMXC, INBC, INBG, INGNQ, INHL, INNU, INQB, INRSP, INSQ, INVX, IPUR, IPZI, IQMC, IRECQ, IRYS, IRWNQ, ISWI, ITOU, ITRT, ITYCQ, IUSN, IVII, IVOI, IWWI, IZON, JAKE, JGBO, JMAR, JPAD, JPTR, JVDTQ, KADR, KAUSQ, KBAS, KDMP, KDSM, KEPI, KERA, KKTI, KLDO, KMDO, KNECQ, KNGS, KNOH, KOLR, KORE, KORHQ, KRMC, KSYT, KUHM, KVME, KYUS, LATIQ, LAWEQ, LBTF, LBUR, LCHL, LFBG, LFHE, LFSCQ, LFTC, LGOV, LIPD, LLUR, LMLG, LNBO, LNDA, LOGE, LOTS, LPHCQ, LPTE, LROD, LRRS, LSKI, LSNU, LSPN, LTII, LTMV, LUNL, MAEI, MAXI, MBAH, MBHS, MBIC, MBRKQ, MCOAQ, MCBN, MCHU, MCOMQ, MDCRQ, MDIZQ, MECAQ, MDTL, MEMLA, MFMM, MGINQ, MGXX, MHLI, MHME, MIIS, MIVI, MLAR, MLHI, MLKKF, MLRMF, MLME, MLRIQ, MLXO, MMDAQ, MMGP, MNHG, MNLU, MOAT, MOBL, MODM, MONFA, MPEH, MPSN, MRDG, MREO, MRMR, MSHI, MSWM, MTBR, MTCI, MTICQ, MTCH, MTIZ, MTVO, MTWOY, MVTS, MXXH, MYRL, MZBY, NASMQ, NAYN, NBII, NBLC, NCPI, NCTI, NCVT, NDAC, NDCP, NESS, NEST, NGBF, NGEN, NGHO, NGTHQ, NHSH, NIVS, NMTI, NNRG, NPDI, NPDT, NRMH, NSLT, NTDR, NTHR, NTTL, NUXP, NVBG, NVFN, NWBA, NWCB, NWMD, NWTB, NXCO, NXSO, NXTZ, NXWI, OCHTQ, OCTI, OECI, OEHL, OIVO, OMCY, OMHI, OPMK, OPWR, ORGT, OTLK, OTTR, OTVLQ, OVOE, OWLD, PALC, PAYI, PBAL, PBGC, PBHN, PCLO, PCMEF, PCSTQ, PCUV, PDGE, PEDI, PELE, PEPR, PFCEQ, PFEH, PFGY, PFOB, PGMC, PHCP, PHIG, PHYH, PLKH, PLHI, PLMO, PLNS, PLNU, PLROQ, PLTGQ, PNOT, PNVNQ, POCC, POIG, POPN, PORS, PPFP, PPML, PPTO, PPWE, PPYR, PROAQ, PRGC, PRPG, PRXZ, PSBG, PSPF, PTCHF, PTCK, PTMD, PTRN, PTYA, PVMCF, PVRE, PWAZQ, PWCL, PWMG, PWRM, PXPT, QIII, QMIN, QNGP, QOBJ, QPCI, QTEK, QTII, QUSTQ, RACCQ, RACE, RAPT, RAYS, RCYT, RDBO, RDYW, REER, RFDS, RFNN, RGFCQ, RGNA, RKWL, RMDT, RMMI, ROKE, ROVC, RPMM RPMV, RSGC, RSMI, RSRN, RTPRQ, RUSO, RVEE, RXHI, RVBF, RVSIQ, RXAF, RXPC, SAMB, SAMM, SARO, SASN, SBCO, SBJX, SBON, SBTKQ, SCLL, SCLR, SCMI, SCNWF, SCOXQ, SCRK, SCTC, SDGL, SDGS, SDSL, SEAI, SBET, SCEY, SDML, SERG, SERW, SFGF, SFSH, SFTC, SFXC, SGCR, SGDM, SGIH, SGUS, SHIR, SHLLQ, SHOEQ, SHRH, SIBO, SIGC, SIGR, SIHI, SILH, SINJF, SIOR, SIRCQ, SITGQ, SJEL, SKNNQ, SLGS, SLNN, SLSI, SKMLQ, SKATA, SLAW, SLGI, SLPHQ, SLRE, SMAN, SMGH, SMHI, SMLK, SMRK, SMSA, SNCOF, SNMA, SNMO, SNRG, SNRNQ, SNRV, SNTO, SNTX, SNVHQ, SNZH, SOBGF, SONM, SOPO, SORSF, SOSI, SOSR, SPFL, SPGNA, SPHC, SPLT, SPNT, SRIN, SRNG, SRRIF, SSCI, SSET, SSEY, SSHZ, SSLN, SSLR, SSTF, SSTP, SSVG, STAX, STBPQ, STCA, STCL, STHKQ, STJC, STKPQ, STKTQ, STLOF, STMIQ, STRXQ, STTA, STXXQ, SUFH, SUSA, SUTU, SVIA, SVOXQ, SVYR, SWDO, SWME, SWTS, SYMBA, TAPI, TBHS, TBII, TCGI, TCLIF, TCLL, TDDAQ, TDDBQ, TDFXQ, TECM, TECZ, TEVI, TFAC, TGTL, TGTS, TKER, THEGQ, THES, TISM, TITT, TKGN, TLAG, TLNT, TLSXF, TMEG, TMJG, TMSTA, TNCC, TNCVF, TNOLF, TNSIQ, TNTU, TNXT, TOGI, TOTG, TPID, TRDM, TRDQ, TRDY, TRGD, TRIE, TRNT, TRUKQ, TRYT, TSCPQ, TSIA, TSLI, TSSR, TSXFF, TTGL, TTRIF, TTRXQ, TTXP, TUBM, TVLS, TVLYQ, TVTGF, TWLO, TXPO, TXSC, TXEGQ, TZNT, UAGI, UCHB, UCMPQ, UDYN, UGHO, UGVMF, UHLD, UIBT, UITK, UNCLQ, UNCO, UPDV, UPHN, UPXE, URCO, USAU, USBR, USBU, USBH, USFF, USFM, USOG, UTIXQ, UTOG, UTRA, UTYW, UVBY, UVUM, VBDG, VBRE, VCNE, VEIC, VENSQ, VEXPQ, VFOX, VFTR, VGPO, VGWA, VILF, VISRF, VLCO, VLEN, VLNT, VLSH, VLYFQ, VMCT, VNECQ, VNWI, VPGC, VRDE, VRDI, VRDOQ, VRST, VSNI, VSTL, VSYN, VTGE, VTHC, VTLV, VTMS, VTPK, VVEA, VXEN, VYTRQ, WATG, WBNK, WBXU, WCAP, WEGI, WESA, WFHCQ, WFSC, WFYW, WGATQ, WGNB, WHCI, WHJH, WITM, WKBT, WLBR, WLSA, WMNS, WNETY, WNWN, WPEC, WRSPQ, WSCE, WSPTQ, WSYS, WTAI, WTCT, WTFS, WUFG, WVNTF, WWEI, WYNDQ, XCHO, XKEM, XNEZ, YBLT, YTBLQ, ZANE, ZDLA, ZUPC, ZVUE.
SEC Litigations November 5, 2014 (note: no SEC Suspensions): MTVX, COWI, ERFB, GACR, RITE, MNVN, APPZ, REDG, BETS, WGAS.
SEC Suspensions:
http://www.sec.gov/litigation/suspensions.shtml
SEC Administrative Proceedings:
http://www.sec.gov/litigation/admin.shtml
SEC Litigations:
http://www.sec.gov/litigation/litreleases.shtml
Administrative Law Judge Orders:
http://www.sec.gov/alj/aljorders.shtml
U.S. SEC reports rise in whistleblower tips in fiscal 2014
By Sarah N. Lynch
WASHINGTON Tue Nov 18, 2014 12:22pm EST
http://www.reuters.com/article/2014/11/18/us-sec-whistleblower-idUSKCN0J220620141118
(Reuters) - The U.S. Securities and Exchange Commission received more than 3,500 tips from whistleblowers in fiscal year 2014, the largest number received since the program went into effect three years ago.
The SEC announced the increase in its Nov. 17 annual report, which tracks the success of the whistleblower program and how much it pays out each year in awards.
Fiscal 2014, which ended Sept. 30, marked a record year for the SEC's program, both in terms of the number of tips received and the amounts it awarded tipsters.
It authorized awards for nine whistleblowers, including a record payout of more than $30 million to a whistleblower overseas who had helped alert the SEC to what it described as an ongoing fraud.
The 2010 Dodd-Frank Wall Street reform law gave the SEC the power to start a whistleblower program that lets the agency reward people who report misconduct, if that tip leads to the collection of more than $1 million in monetary sanctions.
The program was inspired in part by the Bernard Madoff scandal, in which the SEC received numerous tips about his Ponzi scheme but failed to detect the fraud for decades.
According to the SEC's report, the agency received 3,620 tips from whistleblowers in fiscal 2014, compared with 3,238 in fiscal 2013.
The SEC said it fielded over 2,700 phone calls from members of the public. It received tips from every state as well as Washington, D.C. and Puerto Rico. The states where the most tips originated included California, Florida, New York and Texas.
It also got tips from outside the United States, with the bulk of those coming from Britain, India, Canada, China and Australia.
The SEC added that "significant" additional payments also were made to people who received awards in other years because it has since been able to collect more money from a variety of enforcement actions.
One whistleblower, for example, saw the award increase from an initial $50,000 to more than $385,000.
At the same time, the SEC's report also discussed some of the tips it has rejected during the fiscal year.
In one extreme example, the SEC said it rejected 143 claims submitted by one individual whom the SEC accused of making "false and baseless claims" that harmed the rights of legitimate whistleblowers. The SEC said it previously had rejected another 53 claims from the same person.
(Reporting by Sarah N. Lynch; Editing by Paul Simao)
http://www.reuters.com/article/2014/11/18/us-sec-whistleblower-idUSKCN0J220620141118
A cannibal was walking through the jungle
> And came upon a restaurant operated by a
> Fellow cannibal.
>
>
> Feeling somewhat hungry, he sat down and looked over the menu....
>
> +Tourist:$5.00
>
> +Broiled Missionary:$10.00
>
> +Fried Explorer: $15.00
>
> +Baked Democrat or Grilled Republican:$100.00
>
> The cannibal called the waiter over and asked,
> "Why such a high price for the Politicians?"
>
>
> The cook replied, "Have you ever tried to clean one?
> They're so full of crap, it takes all day."
NOVEMBER 2009 NORTH EASTER - CASINO PIER SEASIDE HEIGHTS, NJ
CASINO PIER 10/30/2012 AFTER HURRICANE SANDY!
SEASIDE PARK SEPTEMBER 12,2013
SEASIDE HEIGHTS, NJ
The surf at Lavallette.
A series of small jetties attracts
fish and bait along this town
and neigboring Ortley Beach.
LAVALETTE, NJ 2010
LAVALETTE NJ BEACH 10/30/2012
http://www.rightline.net/calendar/market-holidays.html
NITE - wholesaler
SCHB - wholesaler
TDCM - retailer
ETRD - retail ECN
ARCA - an ECN
NITE : This is the king MM of the OTCBB. He intimides traders and other MMs use that to their advantage knowing that he scares them. That's why NITE is the shaker on most stock runs; he is the most common ax. NITE could be on the ask all the time, he could be leading a dip scaring sellers to SCHB and TDCM on the bid.
Other ECNs : ARCA, BRUT, BTRD, INCA, INTL, ISLD, REDI
Wholesalers : ETRD, HRZG, MASH, NITE, SHWB
Big Shorters : JIMK, POND, GNET or ARCA (anyone can use GNET, even other MMs because it's an ECN).
TDCM - retailer MM.
Top Retail Dilutors : ACAP, AGIS, BAMM, BMIC, CHIG, CLYP, FANC, FRAN, JIMK, MAYF, NATL, PERT, SACM, UCAP, VERT, VFIN
Biggest OTCBB ECNs : GNET, TRAC & DATA
L2 TUTORIAL
http://stockhideout.com/images/flash/level.html
KEY LEVEL II PLAYERS
TOP 5 MMs or wholesalers/retail (typically out of dilution): NITE, GVRC SCHB, TDCM, GNET
Examples of wholesalers: HRZG, MASH, NITE, SHWD
Examples of ECNs: ARCA, BRUT, BTRD, INCA, ISLD, REDI
Top Dilutors (retailers): ACAP, AGIS, BAMM, BMIC, CHIG, CLYP, FANC, FRAN, JIMK, MAYF, PERT, SACM, UCAP, VERT, VFIN
NITE : This is the king MM of the OTC. He intimides traders and other MMs use that to their advantage knowing that he scares them. That's why NITE is the shaker on most stock runs; he is the most common ax. NITE could be on the ask all the time, he could be leading a dip scaring sellers to his buddies SCHB and TDCM on the bid.
TDCM : Retailer MM, you love him on the bid.
Biggest OTCBB ECNs : GNET, TRAC & DATA - you love them on bids also.
Big Shorters : JIMK, POND, GNET or ARCA (anyone can use GNET, even other MMs because it's an ECN).
WARNING ABOUT DORMANT SHELLS THAT SUDENLY BECOME ACTIVE. OVER THE PAST FEW YEARS GROUPS HAVE BEEN KNOWN TO
FRONT LOAD AND PUMP DARK, DEFUNT REVOKED COMPANIES .
MANY TIMES FAKE WEBSITES, TWITTER ACCOUNTS AND SO FORTH WILL ALSO GO ALONG WITH THER PLOY.
CHECK TO SEE IF THE STOCK WAS SLOWLY ACCUMULATED AND ALSO LOOK FOR THE SIGNS OF A GROUP PROMOTION.
HERE ARE SOME GOOD BOARDS TO SEE RFEAL DD.
https://investorshub.advfn.com/DD-Support-Board-and-Research-Team-19670/
https://investorshub.advfn.com/Fake-Press-Release-Forum-36101/
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