Month: October 2014

Commissioner Michael Piwowar, the only economist currently on the Commission, outlined his views regarding enforcement policy in remarks delivered at the Securities Enforcement Forum 2014 last week (here). That policy begins with the due process clause of the Fifth Amendment, …

SEC Commissioner Piwowar On Enforcement Policy Read More »

Tagged with: , ,

The Commission filed another in what appears to be an unending series of offering fraud actions. Unlike many of its prior cases, this action centers on a Respondent who kept shifting his scheme to continually raise more money at the …

SEC Brings Another Offering Fraud Case Read More »

Tagged with: ,