Tag: fraudulent offering

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 »

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The Commission prevailed in four court actions. In the district court the agency won a summary judgment motion against an investment adviser. In the Eleventh Circuit Court the SEC secured a pair of victories. In one it obtained the reversal …

THIS WEEK IN SECURITIES LITIGATION (Week ending May 4, 2012) Read More »

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