Year: 2018

SEC Continues to Focus on Microcap Fraud

Microcap fraud and retail investors continue to be key for the Commission. Last week, for example, the only new case filed by the agency was a manipulation action centered on a microcap issuer that was spearheaded by an attorney. This

Tagged with: ,

This Week In Securities Litigation (Week ending October 26, 2018)

The blistering pace at which the Commission filed new enforcement actions as the fiscal year end drew near has clearly ended. This week the agency filed one enforcement action while announcing the settlement of a previously filed case. SEC Enforcement

Tagged with: , ,
Top