Tag: lawyers

Microcap fraud is a key part of the broken windows enforcement approach. One of the more significant actions brought in this regard is In the Matter of John Briner, Esq., Adm. Proc. File No. 3-16339 (Jan. 15, 2015). There the …

SEC Settles Microcap Fraud Scheme With Attorney, Two Audit Firms, Seven Auditors Read More »

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Lawyers are often viewed as the gatekeepers because of their position in corporate transactions. In two cases brought this week unfortunately the lawyers were more than gatekeepers, they were at the center of the wrongful conduct. One is SEC v. …

A TALE OF TWO LAYWERS Read More »

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