Year: 2019

The focus on retail investors by the Commission’s Enforcement Division is not new. The agency has long sought to protect retail investors. Over the years the Commission has brought a series of offering and microcap fraud cases along with pump-and-dump …

Another Win for the SEC and Retail Investors Read More »

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The Commission filed a series of actions this week. Those included a microcap fraud case in which nineteen sham entities were created using a series of misrepresentations; an insider trading action in which a an executive began placing orders with …

This Week In Securities Litigation (Week ending Feb. 22, 2019) Read More »

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