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SOX Certifications

Sarbanes-Oxley Section 302/906 certifications extracted from SEC EDGAR filings. Each 10-K and 10-Q filing requires CEO and CFO to certify financial statements. Database contains 718 SOX certifications from 3 certifiers across 1 entities. Currently showing 33 matching current filters.

Filters

About SOX Certifications

Section 302: CEO/CFO must certify that quarterly/annual reports contain no material misstatements and fairly present the financial condition of the company.

Section 906: Criminal certification that the report complies with SEC requirements and fairly presents the company's financial condition. False certification carries penalties up to $5M fine and 20 years imprisonment.

Showing 33 of 718 certifications Data as of 1/7/2026
DateTickerCIKCertifierTypeSectionExhibit
Q2 2006 Apr 13, 2006LGAL0000878146Unknown10QSB302
Q2 2006 Apr 13, 2006LGAL0000878146Unknown10QSB302
Q2 2006 Apr 13, 2006LGAL0000878146Unknown10QSB906
Q4 2005 Dec 22, 2005LGAL0000878146Unknown10QSB302
Q4 2005 Dec 22, 2005LGAL0000878146Unknown10QSB302
Q4 2005 Dec 22, 2005LGAL0000878146Unknown10QSB906
Q4 2005 Oct 18, 2005LGAL0000878146Unknown10QSB302
Q4 2005 Oct 18, 2005LGAL0000878146Unknown10QSB302
Q4 2005 Oct 18, 2005LGAL0000878146Unknown10QSB906
Q4 2005 Oct 18, 2005LGAL0000878146Unknown10QSB906
Q3 2005 Aug 9, 2005LGAL0000878146Unknown10KSB302
Q3 2005 Aug 9, 2005LGAL0000878146Unknown10KSB302
Q3 2005 Aug 9, 2005LGAL0000878146Unknown10KSB906
Q3 2005 Aug 9, 2005LGAL0000878146Unknown10KSB906
Q1 2005 Mar 22, 2005LGAL0000878146Kurt Bordian10QSB302
Q1 2005 Mar 22, 2005LGAL0000878146Kurt Bordian10QSB302
Q1 2005 Mar 22, 2005LGAL0000878146Kurt Bordian10QSB906
Q4 2004 Nov 17, 2004LGAL0000878146Unknown10QSB302
Q4 2004 Nov 17, 2004LGAL0000878146Unknown10QSB906
Q3 2004 Sep 8, 2004LGAL0000878146Unknown10QSB302
Q3 2004 Sep 8, 2004LGAL0000878146Unknown10QSB906
Q3 2004 Jul 23, 2004LGAL0000878146Kyleen Cane10KSB302
Q3 2004 Jul 23, 2004LGAL0000878146Kyleen Cane10KSB906
Q1 2004 Mar 22, 2004LGAL0000878146Unknown10QSB302
Q1 2004 Mar 22, 2004LGAL0000878146Unknown10QSB906
Q1 2004 Mar 18, 2004LGAL0000878146Unknown10QSB/A302
Q1 2004 Mar 18, 2004LGAL0000878146Unknown10QSB/A906
Q4 2003 Dec 22, 2003LGAL0000878146Unknown10QSB302
Q4 2003 Dec 22, 2003LGAL0000878146Unknown10QSB906
Q3 2003 Sep 17, 2003LGAL0000878146Unknown10QSB/A302
Q3 2003 Sep 17, 2003LGAL0000878146Unknown10QSB/A906
Q3 2003 Sep 15, 2003LGAL0000878146Unknown10QSB302
Q3 2003 Sep 15, 2003LGAL0000878146Unknown10QSB906

Certifications by Person

Entity Name History

Each CIK may have multiple entity names over time

CIK0000013156
BOOK CORP OF AMERICA 2000-05-18 - 2002-04-12
SECURED DIVERSIFIED INVESTMENT LTD 2002-09-24 - 2004-02-12
SECURED DIVERSIFIED INVESTMENT LTD 2005-08-15 - 2006-04-03
Galaxy Gaming, Inc. 2009-08-24 - 2009-09-03
CIK0000878146
DYNAMIC ASSOCIATES INC 1996-05-30 - 2000-07-11
LEGAL ACCESS TECHNOLOGIES INC 2001-06-28 - 2001-07-05
CIK0001059577
MW MEDICAL INC 1998-07-13 - 2004-04-12
DAVI SKIN, INC. 2004-07-20 - 2004-08-17
SMITH ELLIOT J 2007-05-02 - 2010-04-05
CIK0001103993
LAS VEGAS GAMING INC 2000-04-17 - 2001-02-14
FROCKT RICHARD 2001-02-14 - 2005-02-22
MCMONIGLE ROBERT M 2007-01-22 - 2007-09-13
INTERNATIONAL GAME TECHNOLOGY 2008-11-03 - 2008-11-03
CIK0001144030
LEGAL ACCESS TECHNOLOGIES INC 2001-06-28 - 2004-07-22
LAS VEGAS GAMING INC 2005-10-13 - present
CIK0001487659
Southern Products, Inc. - 2010-04-22
Co-Signer, Inc. 2013-08-15 - 2014-08-06
Cross Click Media Inc. 2014-08-06 - 2014-10-20
CIK0001507718
NORTHWEST RESOURCES, INC. - 2011-01-19
Cubed, Inc. 2014-03-24 - 2014-07-03
CIK0001543098
FIRST INDEPENDENCE CORP. - 2012-05-09
CODESMART HOLDINGS, INC. 2013-06-06 - 2013-06-17
ASHER ENTERPRISES INC 2014-04-24 - 2014-04-30
Iliad Research & Trading, L.P. 2014-07-16 - present
CIK0001561622
AVIANA, CORP. - 2012-12-19
Staffing Group, Ltd. 2013-12-31 - 2015-09-04
Iroquois Capital Management, LLC 2015-09-04 - 2015-11-30
Labor Smart, Inc. 2015-11-30 - 2016-01-12
VIRTU AMERICAS LLC 2018-02-12 - 2018-03-26
Shapiro Nelson 2018-03-26 - present