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    SEC Obtains Officer-Director and Penny Stock Bar Against Michael Cohen
    Going Public LawyerOn March 6, 2015, the Securities and Exchange Commission (the “SEC”) announced that the United States District Court of New Jersey entered a judgment against Michael M. Cohen. Cohn received a lifetime officer-director bar, lifetime penny stock bar and an injunction prohibiting him from violating certain provisions of the federal securities laws. The District Court’s judgme...
    SEC Issues Trading Suspension of Triumph Ventures – TRVX
    Going Public LawyerOn April 10, 2015, the Securities and Exchange Commission (the “SEC”) announced the trading suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (“Exchange Act”), of trading in the securities of Triumph Ventures Corp. (“Triumph Ventures”) of Jerusalem, Israel, at 9:30 a.m. EDT on April 10, 2015 and terminating at 11:59 p.m. EDT on April 23, 2015.... Read ...
    SEC Approves FINRA rule allowing transaction based compensation to unregistered persons
    Going Public LawyerThe Securities and Exchange Commission (the “SEC”) recently approved Rule 2040 proposed by the Financial Industry Regulatory Authority (“FINRA”) which applies to the payment of transaction based compensation to unregistered persons by member firms.  Rule 2040 will allow member firms to pay fees, concessions, discounts, commissions or other allowances to unregistered persons if t...