Many investors seek to obtain background materials on firms in which they invest.  In making those requests many seek to obtain audited financial statements for the firm whose shares are being offered. The audited financial statements will often aid the …

A Multi-Year Accounting Fraud Read More »

Regardless of how sophisticated an investor is, the complexity of the securities markets can at times result in an investor being deceived. A good example, is one of the Commission’s most recent cases, SEC v. Moretz,  Civil Action No. 5:24-cv-00171 …

Broker Settles Action Based on Selling L Bonds By Making Misrepresentations Read More »