This is the concluding segment to a three-part series analyzing the enforcement actions filed during the first quarter of this year. The first segment reviewed and discussed the statistics for the quarter and identified the largest categories of cases. The …
Tag: microcap fraud
SEC Enforcement: 1Q22 (Part III)
Tagged with: digital assets, Insider trading, investment advisers t, microcap fraud, offering fraud, SEC
This Week In Securities Litigation (Week of April 25, 2022)
Last week the Enforcement Division focused on microcap fraud. Long a key issue for the agency, most of the cases filed last week involved microcap manipulations including the classic pump-and-dump manipulation. This approach is in line with trends that have …
This Week In Securities Litigation (Week of April 25, 2022) Read More »