Tag: microcap fraud

This Week In Securities Litigation (Week ending April 12, 2019)

Insider trading and microcap fraud actions were the focus of SEC Enforcement this week. The Commission filed two insider trading actions. One involved a spouse who misappropriated inside information about the acquisition of Whole Foods, Inc. by Amazon, Inc. A

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SEC Continues to Focus on Retail Investors

The retail investor focus of SEC enforcement is reflected in two recent actions filed by the Division. One centered on a fraudulent investment scheme run by a pastor just freed from prison that targeted Vietnamese investors. SEC v. Whitney, Civil

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