Tag: unregistered offering

The Commission ended last week with the filing of a case against an issuer in the plant extract business and its controlling shareholder centered on the sale of unregistered shares to three individuals and errors in company filings about the …

Commission Files Two Unregistered Broker Cases Read More »

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In a holiday shortened week the Commission brought actions centered on: a transfer agent and one of its owners who conducted a fraudulent offering for another company and then sold unregistered shares into the market; a market manipulation that employed …

This Week In Securities Litigation (Week ending May 26, 2016) Read More »

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