Tag: private company

Actions brought by the Commission typically focus on issuers – firm’s whose shares are registered for trading and listed on exchanges. The agency also brings actions against privately held companies, however, a point that is often overlooked. See, e.g., SEC …

SEC Resolves Financial Fraud Action with CEO, CFO of Private Firm Read More »

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The SEC filed another offering fraud action, a current staple of the agency. This scheme centered on two former executives of a privately held software manufacturer and a marketer who sold investors interests in various private entities they controlled which …

SEC Files Offering Fraud Action Centered on Warrants From Private Firm Read More »

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