Year: 2020

The main street investor focus of SEC Enforcement has spawned a series of offering fraud cases. It has, at the same time, resulted in a series of actions involving investment advisers which has become one of the largest groups of …

Adviser Falsely Inflating NAV Charged with Fraud by SEC Read More »

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In the days of COVID-19 the only topic of conversation seems to be the virus. The Commission and other enforcement authorities are investigating claims tied to the virus. Law firms are busy putting out memoranda that somehow tie back to …

Microcap Shares, A Boiler Room and Matched Trades Read More »

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