The retail investor focus of the SEC’s Enforcement Division is translating into a concentration on microcap fraud. The actions being brought include those centered on shell creation factories that frequently create the often empty shell companies used in manipulations, the …
Tag: microcap fraud
This Week In Securities Litigation (Week ending April 12, 2019)
Insider trading and microcap fraud actions were the focus of SEC Enforcement this week. The Commission filed two insider trading actions. One involved a spouse who misappropriated inside information about the acquisition of Whole Foods, Inc. by Amazon, Inc. A …
This Week In Securities Litigation (Week ending April 12, 2019) Read More »