Category: SECActions

Ponzi schemes have been a key focus for the Commission’s enforcement program, at least since the days of Bernie Madoff. While there are variations as with all schemes, typically the fraudsters solicit investments for an entity with which they are …

An Evolving Commission Ponzi Scheme Investigation

Read More »

Last week the Commission filed three new actions. One centered on false statements, a second on insider trading and the third involved misrepresentations. Be careful, be safe this week and stay cool. SEC Enforcement – Filed and Settled Actions Statistics: …

This Week In Securities Litigation (Week of July 15, 2024)

Read More »