Tag: offering fraud

Another Win for the SEC and Retail Investors

The focus on retail investors by the Commission’s Enforcement Division is not new. The agency has long sought to protect retail investors. Over the years the Commission has brought a series of offering and microcap fraud cases along with pump-and-dump

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This Week In Securities Litigation (Week ending Feb. 8, 2019)

The Commission secured partial summary judgment in an action involving a recidivist securities law violator who failed to disclose that fact while soliciting investors that were not permitted to redeem their shares while the defendants redeemed their interests. The court

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