Year: 2016

When investment advisers and brokers misrepresent the value of the account to a client it is frequently because something untoward has occurred – huge trading losses, misappropriation or other malfeasance. The Commission’s most recent case in this area however has …

SEC Charges Adviser With Concealing True Value of Accounts Read More »

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Stock manipulations often take place in the over-the-counter markets which are less regulated than major exchanges such as the New York Stock Exchange and NASDAQ. Frequently the manipulations are raw pump-and-dumps where the promoters hold a large or even a …

SEC Claims 2,000 Exchange Listed Stocks Manipulated 23,000 Times Read More »

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