Year: 2018

The Commission’s focus on the retail investor is well illustrated by two cases involving microcap frauds first announced at the end of last week. One centered on a penny stock manipulator known as the “Mailman” and involved the efforts over …

SEC Files Two Microcap Fraud Actions Read More »

Tagged with: ,

Virtual currencies were front and center again this week. The SEC’s Divisions of Enforcement and Trading and Markets issued a rare joint statement cautioning investors about trading virtual currencies. At the same time the CFTC secured a ruling affirming its …

This Week In Securities Litigation (Week ending March 9, 2018) Read More »

Tagged with: , , , , ,