Year: 2016

The Commission brought actions this week centered on the failure to properly conduct audits, an offering fraud and for acting as an unregistered broker. FINRA sanctioned eight firms for failing to adequately supervise the sale of a complex investment product. …

This Week In Securities Litigation (Week ending Nov. 4, 2016) Read More »

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Unemployed professionals thought they were being requested to appear for a job interview. On arrival they were solicited to purchase shares in a group of companies. In the end the the unemployed professionals were the victims of an offering fraud. …

Job Seekers Become Offering Fraud Victims Read More »

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