Month: October 2017

The Commission charged mining giant Rio Tinto Plc, its subsidiary Rio Tinto Limited, and two of its executives, former CEO Thomas Albanese and former CFO Guy Elliott, with fraud. The case centers on the acquisition of a coal property carried …

SEC Charges Rio Tinto, Executives With Fraud Read More »

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The Commission has long focused on microcap frauds, repeatedly brining cases in this area. It has also focused in recent years on offering fraud actions, filing a string of cases. The agency began this week with another offering fraud action. …

SEC Charges Firm, Officers Re False Statements in Private Offerings Read More »

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