Tag: market manipulation

The first quarter of 2020 ended with the markets plummeting to new lows and much of the country shuttered in an effort to avoid transmitting a the COVID – 19 virus. SEC Enforcement finished the quarter by not filing any …

The SEC’s First Quarter: A Review Read More »

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The main street investor focus of Enforcement has spawned in part repeated cases centered on microcap fraud and manipulation. Over the years these cases have always been key for the Division. The difficulty is frequently whether the Division can uncover …

SEC, Main Street Investors and Microcap Fraud By Recidivists Read More »

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