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

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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.

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