Tag: fraudulent offering

The Commission filed a series of cases as the half way point in the year approaches along with the Fourth of July holiday weekend. Those cases included: An action against a municipal adviser for failing to properly advise an issuer, …

This Week In Securities Litigation (Week ending June 28, 2019) Read More »

Tagged with: , , , , , , , , ,

Microcap fraud is a key part of the broken windows enforcement approach. One of the more significant actions brought in this regard is In the Matter of John Briner, Esq., Adm. Proc. File No. 3-16339 (Jan. 15, 2015). There the …

SEC Settles Microcap Fraud Scheme With Attorney, Two Audit Firms, Seven Auditors Read More »

Tagged with: , , , , ,