Author: T. Gorman

Last week the Commission filed several of new enforcement actions. Those cases included actions based on false statements, microcap fraud, an offering fraud and a sham transaction. In addition, the agency brought administrative proceedings against seven firms that failed to …

This Week In Securities Litigation (Week of December 16, 2024)

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Repeatedly the Commission has filed enforcement actions against persons alleged to have fleeced potential investors through a fraudulent scheme. The schemes involve a variety of frauds fact patterns. For example, many involve the sale of penny stocks that may be …

Fraudster Raises over $1 Million From Investors

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