Tag: FINCEN

Crypto currencies and SARs are two recurring matters in recent SEC Enforcement Actions. The agency has brought a series of cases and issued warnings regarding the necessity of complying with the federal securities laws when dealing with coin offerings. Last

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The Commission secured partial summary judgment in an action involving a recidivist securities law violator who failed to disclose that fact while soliciting investors that were not permitted to redeem their shares while the defendants redeemed their interests. The court

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