Tag: microcap fraud

The Commission and the staff may have returned to the office in time to pack-up. By all reports there is no deal on funding the government past the end of the week, February 15, 2015. If that continues the stalemate …

Commission Partially Settles Microcap Fraud Manipulation Action Read More »

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A key focus of SEC Enforcement is the protection of retail investors. In part this seems to btranslating into increasing numbers of actions involving investment advisers as reflected in the recently published Annual Report of the Division. In part the …

SEC Focus on Retail Investors — Microcap Fraud Actions Read More »

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