Year: 2015

Microcap fraud is an on-going enforcement priority of the Commission. In SEC v. Craven, Civil Action No. 15-cv-1820 (S.D.N.Y. Filed March 11, 2015), the Commission brought a manipulation action against a father and son team, David Craven and Alex Craven. …

SEC Obtains Freeze Order In Microcap Manipulation Action Read More »

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The “broken windows” approach to enforcement is alive, well and continuing. This time the Commission bundled together three groups of actions and eight proceedings, all centered on a failure to update disclosures tied to going private transactions: In the Matter …

Broken Windows Continues: SEC Brings Group of Actions Centered on Section 13(d)(2) Violations Read More »

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