Month: February 2019

Financial fraud actions frequently involve the improper use of accounting principles such as the premature recognition of revenue or the incorrect capitalization of expenses, each of which will improperly boost revenue and ultimately profit. The Commission’s most recent case in …

SEC Sanctions Executives for Wrongful Disclosure Read More »

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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 »

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