Month: February 2016

The Commission filed two administrative proceedings this week. One centers on false entries made in the books and records of a broker dealer. It will be set for hearing. In the Matter of Jason Maiher, Adm. Proc. File No. 3-17126 …

SEC Files Financial Fraud and Unregistered Securities Actions Read More »

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The Commission has brought a series of cases where investors lost substantial sums purchasing shares of firms whose operations and or assets were supposedly largely in China. In some instances the firms turned out not to have the claimed assets …

SEC Charges Texas Promoter With Defrauding Chinese Investors Read More »

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