Tag: retail investors

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 …

Another Win for the SEC and Retail Investors Read More »

Tagged with: , ,

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 …

SEC Enforcement – A Focus on Retail Investors Read More »

Tagged with: , , ,