Month: May 2019

Offering frauds are one of the key staples of SEC Enforcement. These cases may well be the largest single category of actions by the end of the fiscal year. That would, of course, be consistent with the retail investor focus …

SEC Resolves Cross-Border Offering Fraud Action Read More »

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Developing a computerized approach for high-speed trading through the use of a new algorithm might typically be the introduction to a new “spoofing” case brought by the CFTC or the DOJ. Where, however, it is the inducement for an investor …

Trading Algorithm Is a Ruse for Securities Fraud Read More »

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