Tag: microcap fraud

SEC Files Two Microcap Fraud Actions

The Commission’s focus on the retail investor is well illustrated by two cases involving microcap frauds first announced at the end of last week. One centered on a penny stock manipulator known as the “Mailman” and involved the efforts over

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CEO, Attorney Plead Guilty to Market Manipulation

Microcap fraud has long been a focus of the Commission. The U.S. Attorney’s Office has also brought a series of criminal cases centered on market manipulation charges involving these entities. This week prosecutors in the Eastern District of New York

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