The focus on retail investors by the Commission’s Enforcement Division is not new. The agency has long sought to protect retail investors. Over the years the Commission has brought a series of offering and microcap fraud cases along with pump-and-dump …
Tag: retail investors
SEC Enforcement – A Focus on Retail Investors
The current retail focus of Commission enforcement is well illustrated by two recent cases. One involved a microcap market manipulation. The other centered on a scheme by market professionals who took advantage of clients they acquired by directing their investments …