Year: 2019

Actions brought by the Commission typically focus on issuers – firm’s whose shares are registered for trading and listed on exchanges. The agency also brings actions against privately held companies, however, a point that is often overlooked. See, e.g., SEC …

SEC Resolves Financial Fraud Action with CEO, CFO of Private Firm Read More »

Tagged with: , ,

One of the staples of SEC Enforcement in recent years has been offering fraud cases. Many of those actions focus on retail investors who often lose their savings and retirement funds. Others target specific groups who also lose their savings …

SEC Halts Offering Fraud Read More »

Tagged with: ,