Tag: microcap fraud

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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The SEC’s focus on years old microcap fraud continues. On Friday the agency filed a years old microcap fraud manipulation action against a band of defendants who were largely recidivists. There the public had been bilked out of over $11 …

SEC Files Another Years Old Microcap Fraud Action Read More »

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