Tag: SEC

SEC Charges Firm, Officers Re False Statements in Private Offerings

The Commission has long focused on microcap frauds, repeatedly brining cases in this area. It has also focused in recent years on offering fraud actions, filing a string of cases. The agency began this week with another offering fraud action.

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This Week In Securities Litigation (Week ending October 13, 2017)

The Commission prevailed at the trial of Howard Present, a co-founder of F-Squared centered on the marketing claims for its AlphaSector product. That product was also the focus of a series of actions involving investment advisers who recommended it without

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