Offering frauds are frequently one of the largest categories of actions filed by the Commission’s enforcement divisions as readers of material in this space have frequently heard. Often those targeted by the bogus offerings are supposed friends and at times …
Category: SECActions
This Week In Securities Litigation (Week of July 28, 2025)
The Commission undertook a series of actions related to enforcement last week reflecting either new cases filed, or actions taken with respect to pending cases. The actions involved cases based on the following topics: acting as a broker without registration; …
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