Tag: microcap fraud

The access or gatekeeper theory of enforcement traces to the early days of the Division of Enforcement, launched in 1972. The idea was to leverage the scarce resources of the Division and the agency to create a more effective enforcement …

The Access Theory: A Key Enforcement Approach Read More »

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Directional note: This is the second of two articles analyzing the actions initiated in the third quarter of 2020 by SEC Enforcement. The first was published yesterday (here). The second is below. In the Matter of BorgWarner Inc., Adm. Proc. …

SEC Enforcement’s Third Quarter: More Cases, Broader Reach (Part II) Read More »

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