Year: 2016

Gatekeepers For Preventing Fraud: Educated Investors

The halting of another offering fraud on Friday by the SEC has, unfortunately, become routine. Offering frauds in which promoters take the hard earned dollars of investors and give them rosy dreams and worthless pieces of paper are all to

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This Week In Securities Litigation (Week ending July 22, 2016)

Investment advisers were at the center of a number of actions brought by the Commission this week . Two proceedings involved a registered adviser and its COO that were involved in an unregistered and fraudulent offering; two other actions centered

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