Month: March 2020

Frequently the retail investor focus of the Enforcement Division results in offering fraud actions – those in which investors are convinced to purchase shares in fraudulent offerings of securities. Another facet of the retail investor focus, however, can be seen …

Unregistered Brokers – Another Key to Protecting Retail Investors Read More »

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Foreign Corrupt Practices Act enforcement continues to be a key component of the Commission’s enforcement program. Last year, for example, the agency brought just under 20 actions based on the Act. This year the Commission is starting with a somewhat …

SEC, Cardinal Health Resolve FCPA Action Read More »

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