SEC – SEC ACTIONS

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This Week In Securities Litigation (Week of January 18, 2021)

Posted on January 17, 2021 by T. Gorman Posted in SECActions

The exit from the staff at the Commission continued this week with the acting Director of Enforcement resigning. At the same time, it seems relatively certain that Gary Gensler, former CFTC Chairman, will become the new Chair of the SEC …

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Tagged with: FCPA, offering fraud, SEC

SEC Resolves Offering Fraud Action Based on a Vision

Posted on January 11, 2021 by T. Gorman Posted in SECActions

Offering frauds have become a key focus of SEC enforcement, a point illustrated in earlier posts. All too often, those conducting the offerings craft cleaver catch lines to lure in trusting investors. Those range from simple claims of quick and …

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Tagged with: offering fraud, SEC

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