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…
Tag: microcap fraud
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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