Month: June 2018

The current retail focus of Commission enforcement is well illustrated by two recent cases. One involved a microcap market manipulation. The other centered on a scheme by market professionals who took advantage of clients they acquired by directing their investments …

SEC Enforcement – A Focus on Retail Investors Read More »

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Since the Commission revamped its enforcement approach there has been no real discussion about requiring admissions to settle an action. To date there has been one settled enforcement action under Chairman Clayton involving admissions. That action involved a recidivist brokerage …

MLPF&S Admits Violating Securities Laws In Millions of Trades Read More »

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