Tag: SEC

SEC, Main Street Investors and Microcap Fraud By Recidivists

The main street investor focus of Enforcement has spawned in part repeated cases centered on microcap fraud and manipulation. Over the years these cases have always been key for the Division. The difficulty is frequently whether the Division can uncover

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This Week In Securities Litigation (Week ending May 17, 2019)

A new report by Cornerstone Research and NYU compares the number of Commission enforcement actions involving public companies and their subsidiaries brought in the first have of fiscal 2019 with prior years. While the number of cases initiated during the

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