Tag: fraud

Chinese issuers have been a focus of the Commission as well as the class action bar in recent months. The SEC, for example, has revoked the registration statements of over a dozen Chinese issuers and has another 27 revocation cases …

A TALE OF ONE CHINESE MINE AND TWO ISSUERS Read More »

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The Commission obtained a partial victory in a late trading and market timing case against Pentagon Capital Management Plc and its Chief Executive Officer, Lewis Chester. SEC v. Pentagon Capital Management Plc., Case No. 1:08-cv-03324 (S.D.N.Y. Filed April 3, 2008). …

ANOTHER SPLIT DECISION FOR THE SEC Read More »

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