Year: 2016

In a holiday shortened week the Commission brought actions centered on: a transfer agent and one of its owners who conducted a fraudulent offering for another company and then sold unregistered shares into the market; a market manipulation that employed …

This Week In Securities Litigation (Week ending May 26, 2016) Read More »

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The SEC’s latest stock manipulation case might be titled “How to make (almost) over $400,000 in just 27 minutes.” The key is to use Williams Act filings not to alert the market and issuer to a potential take-over but to …

SEC – A Computer and Twenty-Seven Minutes To Profit Read More »

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