Year: 2016

The focus this week was offering fraud actions. Three cases were brought. One involved a registered transfer agent. A second centered on claims that the defendant was an expert trader. The third was based on false claims regarding the defendant’s …

This Week In Securities Litigation (Week ending December 2, 2016) Read More »

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Offering fraud actions are a staple of SEC Enforcement. While each action is different, yet typically each involves raising substantial amounts of cash from investors who are promised significant to outsized returns from a safe investment. Unfortunately the investments do …

SEC Files Two More Offering Fraud Actions Read More »

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