Month: July 2015

Microcap fraud has been a priority for SEC Enforcement at least since the creation of the Microcap Fraud Task Force two years ago. The cases typically focus on market manipulation claims of shell companies and pump-and–dump type schemes. The SEC’s …

SEC Files Microcap Fraud Action Charging Thirty-Four Defendants Read More »

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DOJ and SEC officials repeatedly encourage cooperation. There are benefits for both sides. Cooperation can facilitate the Government’s investigation, providing a road to the scheme. Testimony can aid in obtaining a favorable result. For the cooperator there is the promise …

An Example of Cooperation Credit From The SEC Read More »

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