Tag: microcap fraud

As the Christmas and holiday season approaches, the SEC brought a series of actions. Those included two settled FCPA actions filed in tandem with the DOJ, one of which also involved foreign regulators and the payment of about $3.5 billion. …

This Week In Securities Litigation (Week ending December 23, 2016) Read More »

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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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