Alan Brochstein's Personal Disclosure

Updated 12/09/22

I receive questions occasionally and want to create this document, which is available to the public, to address any concerns about potential conflicts of interest as it relates to 420 Investor. I earned the designation of Chartered Financial Analyst (CFA) in 1997 and am committed to transparency and displaying the highest levels of integrity. I adhere to the CFA Institute's Code of Ethics and Standards of Professional Conduct.

With respect to personal trading, I have not ever nor will I invest in publicly-traded cannabis stocks. While this may seem disappointing to some, my intent is to avoid anything that would threaten my objectivity. More importantly, doing so would put me in a position of potentially "front-running" subscribers.

As I have previously indicated, in the event that I enter into any consulting arrangements with private companies, I will disclose the nature and, if possible, the name of any such relationships.

While I have no current arrangements to refer accredited investors to companies seeking capital, I may do so in the future. If so, I will disclose the nature of my compensation.

I have published at Seeking Alpha, where I am typically compensated at a rate of $0.01 per page-view, though there are flat-fee arrangements as well that can range from $150 to $500. SA is a platform that allows individual contributors to publish content - I am in no way an "employee" of SA.

I had consulting relationships with investment management firms, but, at the time, these relationships covered stocks that are entirely outside the cannabis space. Should I provide cannabis-related research to institutional investors in the future, I will disclose it.

I am not a registered investment advisor. In no way should anyone infer that I am providing individual investment advice. 420 ...

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AB Media Mentions

You can also visit New Cannabis Ventures for a list of media appearances

Print

Marijuana Business Daily - 1/13/14

Capital New York - 1/21/14

New York Post - 1/26/14

Financial Times - 1/26/14

Main Street - 02/03/14

Main Street- ...

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MCIG - Review of the 2.0: Great Value

This is a guest blog (public access) and one of several positive reviews from 420 Investor members of the new mCig:



Thanks, Sir James!  To be fair, we have had a range of reviews, all of which you can access ...

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Mentor Capital (MNTR)

This is the discussion board for MNTR

WEBSITE:  http://mentorcapital.com/

PRESS RELEASES



Referral from Bob Meyer :  "I've known and interacted with Chet Billingsley for 18 years and he's a top notch person"

LOTS OF WARRANTS AND POTENTIAL REVERSE ...

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$100 Off Arcview's "State of the Legal Marijuana Markets"


Do you have the info you need to capitalize on the growth of the legal cannabis markets?

The State of Legal Marijuana Markets 3rd Edition is the definitive source for market sizes and high-level analysis of business trends in one ...

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Guest Post - Vape Holdings: The Possibilities $PLPE $VAPE

As always, I encourage members in our community and others who are interested in cannabis stocks or the industry to contribute their perspective.  The following contribution, which is available to the public, is from 420 Investor member "dxchronicdvt":

VAPE currently ...

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420 Stock Index - 2013 Performance

The 420 Stock Index surged to end the year up 59.4%:

The stocks in the index (equally weighted as of 1/1/13) and their corresponding performance:

  • CBIS, + 3%
  • GRNH, + 15%
  • GWPRF, + 268%
  • HEMP, - 34%
  • MDBX, - 70% ...

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Cannabis Stock Outlook 2014: Survey Results

These are exciting times!  Colorado will be the first state to allow legal cannabis to adults in just hours.  I decided to survey investors regarding their views on several issues.  The results below are for 77 respondents.  

PHOT took ...

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Guest Post - Vape Pens

I always appreciate when a member wants to share his or her perspective.  In this case, GreenRushColorado takes a look at how vape pens are changing the cannabis scene in Colorado, where he lives:


The Rapid Growth of Vape Pens ...

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TRTC Presentation Slides

Thanks again to Derek Peterson, CEO of Terra Tech (TRTC) for sharing his time with us.  Here is a link to the recording (90 minutes).  Here are the slides from his presentation:



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The Nevada MMJ Opportunity: An Interview with Greg Obbink

Nevada is often mentioned as one of the more attractive opportunities in the medical marijuana space.  Our webinar with Rob Hunt, President of GrowLife Hydroponics (PHOT) earlier this week confirmed this.  For those who missed it, the presentation and Q&A ...

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$MJNA - Thoughts on the SEC Inquiry

MJNA is tanking hard.  Beyond stop-losses being triggered, there are many potential fundamental reasons - weak Q3 results, the CANV dilution, the product safety accusations and the SEC inquiry (as of June 17th and disclosed in August through the OTC ...

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