Tag: microcap fraud

Microcap fraud has long been a focus of the Commission. The U.S. Attorney’s Office has also brought a series of criminal cases centered on market manipulation charges involving these entities. This week prosecutors in the Eastern District of New York …

CEO, Attorney Plead Guilty to Market Manipulation Read More »

Tagged with: , , ,

The Commission has long focused on microcap fraud by, among other things, bringing manipulation actions centered on penny stocks. OCIE and FINRA have also issued guidance for compliance departments on red flags to watch for which may suggest such a …

SEC Charges BD, COO With Failing to File SARs Read More »

Tagged with: , ,