Tag: broker

Who is a broker — a question thought long settled but which is the focus of a recent Commission action and dissent by a Commissioner. Brokers are required to register with the Commission by Section 15(a)(1) of the Exchange Act. …

Who is a Broker? Read More »

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The retail investor focus of SEC Enforcement continued this week. First there was an action based on a microcap fraud. Then a case involving the so-called “blockchain evangelist” and crypto currency fraud and then a touting proceeding involving a microcap …

SEC: Broker Defrauded Long Time Clients in Fake Land Deal Read More »

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