Tag: microcap fraud

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 …

SEC Continues to Focus on Retail Investors Read More »

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The Commission filed a series of actions this week. Those included a microcap fraud case in which nineteen sham entities were created using a series of misrepresentations; an insider trading action in which a an executive began placing orders with …

This Week In Securities Litigation (Week ending Feb. 22, 2019) Read More »

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