Month: May 2016

The SEC filed another offering fraud action, a current staple of the agency. This scheme centered on two former executives of a privately held software manufacturer and a marketer who sold investors interests in various private entities they controlled which …

SEC Files Offering Fraud Action Centered on Warrants From Private Firm Read More »

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The SEC prevailed at trial against the former CEO of a biopharmaceutical company on claims that he made false and misleading statements regarding the regulatory approval status of the firm’s only drug. Following a two week trial the jury returned …

SEC Prevails In Jury Trial Against Former CEO of Drug Firm Read More »

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