Month: July 2022

Offering fraud actions are a staple of the SEC’s enforcement program. Many of the actions focus on selling shares of microcap issuers. Frequently investors are solicited to part with their hard earned cash with a series of lies regarding the …

Offering Frauds – an SEC Staple Read More »

Tagged with: ,

The cheating on ethics exams at the center of the Commission’s action against EY rocked the industry, according to a number of news reports. The allegations at the center of the case trace the wrongdoing through the firm, raising significant …

This Week In Securities Litigation (Week of July 6, 2022) Read More »

Tagged with: , ,