No Principals, Members, Managers, Employees, and/or Affiliates of The Nuemark Group, LLC:
- have been convicted of an offence under securities legislation of any country where they are a resident or have operating investment accounts;
- have been a principal officer of a corporate body that has committed an offence referred to in Section (1), while the corporate body committed the offence;
- have been adjudicated bankrupt;
- have been prohibited by a law or by any court from taking part in the management of a company or business;
- have been the subject of an adverse finding by a court in any proceeding that has been taken against those principal officers in their professional capacity;
- have been expelled from, or prohibited from being a member of, a professional body.
The United States Securities and Exchange Commission Sec. 17 SECURITIES ACT OF 1933 AS AMENDED THROUGH P.L. 112-106, APPROVED APRIL 5, 2012 states:
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
We disclosure compensations for dissemination of information, public relations, media design, and news dissemination services, you can find the compensation amounts within the Section 17(b) Disclosure portion of our individual Newsletters, Websites, Media Publications, Press Releases, and other distributed literature.
While we do volunteer the disclosure of compensation pertaining to Newsletters, Websites, Media Publications, Press Releases, and other distributed literature, we may choose not to disclose clients or client-companies compensation which we are currently or previously have been contractually engaged as consultants for, in the course of our consulting business activities– we do not engage in promotional, advertisement, or communications services but may, selectively elect to offer strategies to client-companies at our discretion, we are not required to disclose such information herein but, may volunteer such information should our firm believe it’s relevant public information and may be a conflict of interest or otherwise violate Section 17(b).