Tag: unregistered offering

In a holiday shortened week the Commission brought actions centered on: a transfer agent and one of its owners who conducted a fraudulent offering for another company and then sold unregistered shares into the market; a market manipulation that employed …

This Week In Securities Litigation (Week ending May 26, 2016) Read More »

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Budgets were a key topic this week. The President proposed one which would increase the SEC’s funding. The agency also proposed a budget for FY 2013 which would increase the size of the Enforcement Division by adding 191 positions. In …

THIS WEEK IN SECURITIES LITIGATION (Week ending February 17, 2012) Read More »

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