Month: July 2015

Microcap fraud has been a priority of SEC Enforcement since at least the formation of the Microcap Task Force about two years ago. The Commission has brought a series of cases focused largely on pump-and-dump schemes. Now the Commission has …

SEC Charges Three For Six Microcap Fraud Manipulations Read More »

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A critical part of cooperating with an SEC or DOJ investigation for FCPA or other possible violations is the production of documents. In order for the company to assess what happened it must conduct an internal investigation and interview the …

Cooperation, the SEC and FOIA Read More »

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