Month: August 2021

Many of the cases brought recently by the Commission have been either offering fraud or microcap issuer cases with the latter often centered on pump-and-dump manipulations. These cases typically fleece unsuspecting investors who purchase what appear to be inexpensive securities …

The Conclusion of a Long Running Pay-to-Play Case Read More »

Tagged with: ,

Crypto assets continue to generate controversy. Recently, at least one Commissioner proposed a “safe harbor” which apparently would give firms involved with the assets a period of time to evaluate them without concern about regulatory questions. The assets for a …

mTokens, DMG Tokens – Both Securities Read More »

Tagged with: , ,