Month: November 2018

This Week In Securities Litigation (Week ending Nov. 30, 2018)

Crypto currency continues to be a focus for SEC Enforcement. Last week the agency filed two settled ICO cases, setting the standard for settlement of unregistered offerings in the wake of the DAO Report. This week agency filed its first

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SEC Focus on Retail Investors — Microcap Fraud Actions

A key focus of SEC Enforcement is the protection of retail investors. In part this seems to btranslating into increasing numbers of actions involving investment advisers as reflected in the recently published Annual Report of the Division. In part the

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