Year: 2017

A key focus of SEC Enforcement, according to the Commission’s recent publication about the Division, is retail investors. While the agency has always sought to protect the individual investor and has an investor advocate, a new task force was created …

SEC Claims Promoters Conducted Repeated, Fraudulent Offerings Read More »

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A staple of SEC Enforcement has been offering fraud actions. The Commission has brought a seemingly endless stream of these actions. While each scheme is different typically the cases center on promises of a safe investment with a high rate …

Jury Finds Pastor, Wife Guilty In Offering Fraud Case Read More »

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