Many of the cases brought recently by the Commission have been either offering fraud or microcap issuer cases with the latter often centered on pump-and-dump manipulations. These cases typically fleece unsuspecting investors who purchase what appear to be inexpensive securities …

The Conclusion of a Long Running Pay-to-Play Case Read More »

The Commission prevailed following a bench trial in a case that was part of a series of pay-to-play actions involving pension funds. The action centered around bribes paid to an employee of a New York pension fund to secure business. …

Commission Prevails in Pay-To-Play Case at Trial Read More »