Tag: microcap fraud

SEC Focus on Retail Investors — Microcap Fraud Actions

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

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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

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