Tag: recidivist

Securities Law Recidivist Pleads Guilty in Offering Fraud Case

The Commission and the DOJ have recently brought a number of securities fraud cases in which a key person in the misconduct concealed a prior criminal conviction for securities related offenses from investors. Another case in this series was announced

Posted in SECActions Tagged with: , , ,

Two Investment Frauds Centered on Pre-IPO Shares of Facebook

Two investment fraud schemes involving the sale of what was claimed to be pre-IPO shares of hot social media stocks were involved in two criminal cases this week.

Posted in SECActions Tagged with: , ,