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January 29, 2015

Posted  January 28, 2016

Chicago-based International Capital Group, along with its two co-founders and former chief operating officer, agreed to pay more than $4.3M to settle charges they sold more than nine billion shares of penny stocks through purported stock-based loans, block trades, and other transactions without registering with the SEC as a broker-dealer as required under the federal securities laws.  SEC

Tagged in: Market Manipulation and Trading Violations, Regulatory Violations, Securities Fraud,