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I'm hoping the tweets and emails i sent the sec about trading last week in BCAP and RIGH were heard. Numbers below can also be used in case you spot the illegal activity.
SEC Releases Risk Alert on Unauthorized Trading
FOR IMMEDIATE RELEASE
2012-33
Washington, D.C., Feb. 27, 2012 – The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.
The Risk Alert issued by the agency’s Office of Compliance Inspections and Examinations (OCIE) notes that although broker-dealers and investment advisers are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.
Additional Materials
Risk Alert
Unauthorized trading can include rogue trades in customer, client, or proprietary accounts or trades that exceed firm limits on position exposures, risk tolerances, and losses. Unauthorized trading can be done by traders, assistants on trading desks, portfolio managers, brokers, risk managers, or other personnel, including those in administrative positions in a firm’s back office.
“Unauthorized trading is not a new problem, and the risks it poses should be a perennial concern to financial firms as well as to regulators,” said Carlo di Florio, Director of OCIE. “We hope that the observations shared in the Risk Alert will be helpful for firms as they review their compliance and supervisory controls to detect and deter unauthorized trading.”
The alert notes that changes in trading patterns, a high volume of trade cancellations or corrections, manual trade adjustments, or unexplained profits for a particular trader or client may warrant additional scrutiny. The alert suggests compliance measures that firms might want to use to protect themselves and their clients from unauthorized trading, such as stress testing and independent trading reviews. The alert also discusses policies that require traders to take vacations without remote access to trading accounts. These policies could be enhanced, for instance, by using the trader’s vacation to conduct a special review of the trader’s portfolio for signs of unusual activity.
The alert is the second this year and the fourth in a continuing series of Risk Alerts that the SEC’s examination staff expects to issue.
The following staff contributed substantially to preparing this Risk Alert: Marita Bartolini, Julius Leiman-Carbia, Olin Filyaw, Dan Gregus, George Kramer, Lesley Ward, and Margaret Willenbucher.
# # #
For more information contact:
Carlo di Florio
Director, Office of Compliance Inspections and Examinations
202-551-6200
Julius Leiman-Carbia
Associate Director, Office of Compliance Inspections and Examinations
212-336-0970
George Kramer
Senior Counsel to the Director, Office of Compliance Inspections and Examinations
202-551-8959
http://www.sec.gov/news/press/2012/2012-33.htm
73,000 at .0002.
I've been in this stock for quite awhile. I have a fair amount of shares as well. Things are starting to look good and waiting for the break out.
The USB hardware device is based upon technologies previously authorized by the FDA to enter clinical trials for determining its effectiveness in breast cancer diagnosis. Pretty much we are gonna have a new partner announced shortly. Maybe an acquisiton or joint venture.
Wow, check out the bid 368 million. Huge.
RIGH is setting its self up as a heavy weight in the industry. RIGH has experts in technology and minds that are forward thinking. The levels we are at are a poor representation of the business. Things are happening quickly and so will the pps.
That is tremendous. I will register as well. Bright future. BCAP
Power in numbers. Many here no the potential BCAP has. Once we obtain the brokerage things will develop rather quickly.
Power in numbers. Many here no the potential BCAP has. Once we obtain the brokerage things will develop rather quickly.
To each there own. Knowledge is power. Many more longs than you know.
Good close today. I just want to reiterate that BCAP must prevail. Matt Dwyer does everything by the book and has taken the steps necessary to clean up the otc market within regulation. His many years of experience has shown over the last few months even after many attempts by short sellers and naysayer to thwart the business. The attempt is being made by the dtcc and even by the sec to clean up the unregistered shares that hit the market which caused penson there ills. Other accounting fraud, illegal insider trades, boiler room scams, gagged TA's, and pump n dumps are also being looked into. Baron Capital is an outlet for private companies to become public and other companies to clean up there acts and release financial or reap financial ruin. How many times has s shell company been used to dump shares to investors without there even being a business. The penny market has mainly been a gamble, but BCAP is a gamble that may change the OTC markets for the better. Increased competition is always a good thing considering he is ahead of the curve in all aspects of the otc markets which currently are in shambles. Money flow has certainly been coming into pennies of late and when Baron announces the brokerage and otcbb upgrade i have no doubt in my mind the market will react positively. Longs keep up the good fight. Knowledge is power.
As soon as the brokerage firm is bought we will be signing on up to four directors and acquiring addition capital from outside investors. Once the brokerage is acquired things will develop very quickly. Revenue from reverse mergers and new IPOs. Up list will happen and then other divisions from matts overall plan will commence. Bright Bright future in BCAP. Load up on these prices.
major accumulation in BCAP. Will pop on brokerage news. Matt knows his shareholder base holds most of the float and will avoid a reverse split and authorized share increase. The truth is in numbers and what i know is we have some big dogs in this stock and are acquiring the preferred shares. Great response longs and keep up the good work. I really have no idea where these shares are coming from. The shake early this week did not phase the true longs and we know who we are.I hope they are all phantom shares and a huge squeeze bursts the shorts bubble. oh yeah they are here and are in desperation mode to cover what ever they have left. The same holds true with RIGH. Much anticipated next few weeks. Accumulation continues. go BCAP
http://www.baroncapitalenterprise.com/
Baron Capital Enterprise
For the past 13 years Baron Capital Enterprise has been the brainchild of Matthew Dwyer, our CEO, who started his career on Wall Street 26 years ago working for Donaldson Lufkin and Jenrette in Manhattan. In the family tradition, Mr. Dwyer went to work on Wall Street following in his father's footsteps as well as his grandfather’s, who worked on Wall Street during the Great Depression.
Through these years various versions of the company have been successfully developed and deployed. As with any business, trial and error always exists, that is, until you find the perfect scenario. The concept of Baron Capital has been tweaked, while some parts were applied to real world application. Those applications, although well-conceived, wouldn’t produce the amount of capital needed to sustain a public company.
For the past two years, Mr. Dwyer has been buying and selling debt, private placements, judgments, development stage companies, and funding private entities. This has been extremely profitable with high margins, low overhead, and no inventory worries, all without being labor intensive.
The new and ongoing stumbling block has been the regulation placed on the small-cap market in general. Through these obstacles millions of dollars have been lost attempting to get certificates cleared, and the problems have become more serious since the fall of 2009.
Baron Capital, through its wholly owned subsidiaries, will create a “one stop shop” for small-cap companies and investors to use the public markets to raise capital and trade the stocks of companies at this market level.
Baron Capital will grow and change within this new environment from which it must develop, but as it prospers, so will the opportunities for investors and companies.
Yes. Because there are no shares available. Many have there shares locked up.
how can you sell below the bid. just ridiculous what is happening in these stocks.
MM games. who saw the last sale 7 million sell @ .0001 then a 7 million buy @ .0002. WTF. Shady trading here on RIGH. same crap happened on BCAP. shady market makers at work. We need to hold the shenanigans accountable.
Have you contacted pkdaddy64. Not sure if he sold his position or not.
Its funny how it took 2 weeks to move from .0002 to .0006 than 2 days to move it back down.
Phil can you send me the information as well.
The trading today is orchestrated to cause fear and doubt. Another buying opportunity.
website to go online tomorrow at market open. Name and symbol change will follow shortly after. load the boat. 6.5 million projected revenues.
out with the old in with the new.
shuffle up the shares and deal them out. new share holders and longs are adding to there positions.
yes i have noticed some fresh new screen names on friday after the call and all weekend. The followers in BCAP is on the rise. I know of many who were waiting on the sidelines to scoop up cheap shares. The emotions on friday gave others that oppurtunity. Flushing out some larger share holders and distributing those shares to multiple players will only increase the sustainability of BCAP.
Thanks phil cheese and miami G for all the leg work. much appreciated. Regarding the call, Matt Dwyer answered every question intelligently and truthfully. He has remained very transparent with the 1000 plus shareholders. The crucial key element is the brokerage firm. Once this is achieved, the business will take off. During the call he had mentioned a lot of Q work and being very busy in the upcoming months. Those words alone mean we have business. The uplist is going to happen around April 2012. The one of kind product will generate mucho income however the Brokerage firm needs to be bought. He does not want to make a lot of money for anyone else but BCAP. Others on this board can and will construe the facts for self benefit. It has been happening for months. The emotions went wild after the call. All in all it is a good buy on the dip opportunity and it allowed new investors to take a position. Matt will increase the value of BCAP. no doubt about it!!!
I believe he mentioned this in the cc. May need to listen to it again.
Baron Capital Opens Transfer Agency
Print
Alert
Baron Capital Enterprise (PC) (USOTC:BCAP)
Historical Stock Chart
1 Month : January 2012 to February 2012
Baron Capital Opens Transfer Agency Creates Non-Convertible Preferred
PR Newswire
FT. LAUDERDALE, Fla., Feb. 9, 2012
FT. LAUDERDALE, Fla., Feb. 9, 2012 /PRNewswire/ -- Baron Capital Enterprises, Inc. (OTCPK:BCAP) (www.baroncapitalenterprise.com) is pleased to announce that its Transfer Agent division is fully operational.
Baron Capital Transfer and Registrar is officially opened and is in the process of working with a few companies to begin transferring their accounts. The process can take up to two weeks to transfer over to Baron.
Baron Capital is creating a Non-Convertible Preferred that will offer a 10% coupon paid annually. The shares will be redeemable by the Company after two years at a twenty percent premium. There will be 2 million shares of the new Preferred created that the Company will seek to sell at $.50 per share.
The funds will be used to further the business plan of the Company by obtaining its own brokerage firm which is the key element of the Company's success.
Updates will follow shortly.
The foregoing press announcement contains forward-looking statements that can be identified by such terminology such as "believes," "expects," "potential," "plans," "suggests," "may," "should," "could," "intends," or similar expressions. Such forward-looking statements involve known and unknown risks, uncertainties and other factors that may cause the actual results to be materially different from any future results, performance or achievements expressed or implied by such statements. In particular, management's expectations could be affected by, among other things, uncertainties relating to our success in completing acquisitions, financing our operations, entering into strategic partnerships, engaging management and other matters disclosed by us in our public filings from time to time. Forward-looking statements speak only as to the date they are made. The Company does not undertake to update forward-looking statements to reflect circumstances or events that occur after the date the forward-looking statements are made.
Contact:
Matt Dwyer, President
matt@bcapent.com
954-623-3209
SOURCE Baron Capital Enterprises, Inc.
The market absorbed the sell off. Profit taking and frustrated flippers are out and a new breed of investors have entered the BCAP stock. I believe this is a healthy pullback. Buying on the dips has always proved profitable. New screen names have appeared on the board and many on the sidelines watching finally jumped in. BCAP is long shareholder stock. once the brokerage business is bought all elements can work together.
I'm calling for a record volume day today
What do the chartists think of BCAP before the conference call. Blackop Pharoah or bullwarriorstock. any input
Tomorrow BCAP will rally
lets kick the trips
Tomorrow will define BCAP. Matt Dwyer will not disappoint. Too much on the line here.
We will all see what BCAP is made of tomorrow. If i know Matt Dwyer we will all be pleased
Matt Dwyer will end the games tomorrow. oh yeah i hope the sec got my tweets.
just as i finished typing, the order gets filled. Don't need to break the bank to create pressure. Go BCAP
order in for 800,000. nothing 5 minutes
conference call will be the pivotal point for baron capital. A lot of eyes on the prize.