Tag: misappropriation

This Week In Securities Litigation (Week ending July 20, 2018)

The Commission filed a series of enforcement actions last week focused largely on retail investors. Those cases included: An action against a former CCO involving undisclosed conflicts; another centered on false statements concerning a shale oil firm; a case centered

Tagged with: , , , ,

This Week In Securities Litigation (Week ending June 1, 2018)

The retail investor focus of SEC Enforcement continued in this holiday shortened week. First, there was an action based on a microcap fraud. Then a case involving the so-called “blockchain evangelist” and a crypto currency fraud. Another case focused on

Tagged with: , , ,