Tuesday, June 27, 2017 11:37:43 AM
. Respondent Berman be, and hereby is:
prohibited from acting as an officer or director of any issuer that has a class
of securities registered pursuant to Section 12 of the Exchange Act [15
U.S.C. § 78l] or that is required to file reports pursuant to Section 15(d) of
the Exchange Act [15 U.S.C. § 78o(d)]; and
barred from participating in any offering of a penny stock, including:
acting as a promoter, finder, consultant, agent or other person who
engages in activities with a broker, dealer or issuer for purposes of the
5
issuance or trading in any penny stock, or inducing or attempting to induce
the purchase or sale of any penny stock
The Problem: FAILURE by a CEO in PENNYLAND, is not only an Acceptable Practice, it REWARDS a CEO... It's much EASIER for CEO to make money selling Company shares, than Build a Company.
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