Year: 2014

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding the person from being an officer or director of any public company. That, of course, can …

SEC Request For O&D Bar Denied Read More »

Tagged with: , ,

The SEC brought an action against a reputed “app” manufacturer who sold shares in two different entities beginning first in Colorado and later from Georgia. From each location, and for each entity, the sales pitch was essentially the same. Indeed, …

SEC Brings An Offering Fraud Action Against A Claimed App Maker Read More »

Tagged with: ,