News: Optoelectronics
20 October 2026
NUBURU receives NYSE American warning letter regarding disclosure requirements
NUBURU Inc of Centennial, CO, USA (a dual-use defense & security integrated platform company) has received a public warning letter from NYSE Regulation on behalf of NYSE American LLC.
It was issued under Section 1009(a)(i) of the NYSE American Company Guide after determining that NUBURU violated Section 401(a), which requires immediate public disclosure of material information. The finding concerns two material events effective 30 September that NUBURU disclosed in a Form 8-K filed on 6 October: a side letter with Esousa Group Holdings LLC and other purchasers related to certain terms of the company’s July public offering of common stock, warrants and Series B preferred stock; and an agreement with Brick Lane Capital Management Ltd to return shares of Heckler & Koch AG purchased by the company from Brick Lane in exchange for cancellation of a $15m promissory note.
The letter cites previous violations by NUBURU of the Company Guide. In light of that history, NYSE Regulation stated that any future violation that could lead to a public warning letter under Section 1009 of the Company Guide will instead result in immediate suspension and commencement of delisting proceedings against NUBURU under Parts 4 and 10 of the Company Guide.
NUBURU resumes trading on NYSE American
NUBURU closes public offering, raising gross proceeds of $38m
NUBURU restores full compliance with NYSE American regulatory disclosure requirements
