Advise file complaints with SEC in re: HFB violations of securities law and regulations. Address complaints and demands for investigation and suspension to applicable regional SEC offices. See below. Also see below references to specific anti-fraud laws and SEC rules and regs HFB has apparently violated along with links to HFB data.
Philadelphia Regional Office Daniel M. Hawke, Regional Director The Mellon Independence Center 701 Market Street Philadelphia, PA 19106-1532 (215) 597-3100 e-mail: philadelphia@sec.gov (handles Delaware region)
Los Angeles Regional Office Rosalind Tyson, Regional Director 5670 Wilshire Boulevard, 11th Floor Los Angeles, CA 90036-3648 (323) 965-3998 e-mail: losangeles@sec.gov (handles California/Nevada region)
Item Re: Issuing false or misleading statements (PRs, e.g.)
Cite Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b) and SEC Rule 10b-5, 17 C.F.R. 240.10b-5 "Rule 10b-5: Employment of Manipulative and Deceptive Practices": It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security."
Item Re: Paid stock touts (Cf. HFB Chief Business Development Officer) Cite Section 17 of Securities Act of 1933
"Section 17 -- Fraudulent Interstate Transactions a. Use of interstate commerce for purpose of fraud or deceit It shall be unlawful for any person in the offer or sale of any securities or any security-based swap agreement (as defined in section 206B of the Gramm-Leach-Bliley Act [15 USCS § 78c note]) by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly-- 1. to employ any device, scheme, or artifice to defraud, or 2. to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or 3. to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
b. Use of interstate commerce for purpose of offering for sale It shall be unlawful for any person, by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, to publish, give publicity to, or circulate any notice, circular, advertisement, newspaper, article, letter, investment service, or communication which, though not purporting to offer a security for sale, describes such security for a consideration received or to be received, directly or indirectly, from an issuer, underwriter, or dealer, without fully disclosing the receipt, whether past or prospective, of such consideration and the amount thereof."
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