Year: 2018

The Enforcement Division’s focus on retail investors is illustrated by a recent offering fraud case brought by the Commission. The key elements of that action were: a fund run by a person that worked in the financial industry, giving him …

SEC Enjoins Firm Trading Binary Options That Guaranteed No Losses Read More »

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The SEC prevailed on a summary judgment motion against Steven Metro, the key figure in the Grand Central insider trading case. The Court entered an injunction and imposed a $25,000 penalty, far less than the $2 million requested by the …

This Week In Securities Litigation (Week ending March 23, 2018) Read More »

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