Year: 2019

Offering frauds are a key staple of SEC Enforcement and of federal prosecutors. While there are numerous variations of these frauds, in many instances the insiders are trying desperately to continue what was once a solid business. That was apparently …

Two Convicted, One Acquitted in Platinum Partners Case Read More »

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In recent months the key question regarding digital assets has been whether they are a security. The Commission furnished guidance on this by issuing a Section 21(a) report known as the DAO Report, discussed here. The approach of the agency …

Securities Law and Digital Assets – Ideas From the SEC, FINRA Staffs Read More »

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