Year: 2018

A key focus of SEC Enforcement is the protection of retail investors. In part this seems to btranslating into increasing numbers of actions involving investment advisers as reflected in the recently published Annual Report of the Division. In part the …

SEC Focus on Retail Investors — Microcap Fraud Actions Read More »

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Last week the SEC resolved two ICO actions that will become the blue print for settling unregistered crypto currency actions in the wake of the Section 21(a) DAO report detailing how the federal securities laws apply to the offerings. See, …

USAO Secures Guilty Plea in Fraud Using Crypto Currency Read More »

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