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Posted on by T. Gorman Posted in SECActions

Penny stock frauds have long been a staple of SEC enforcement. Typically, these actions center on the trading of large numbers of penny stock which are not registered and may be manipulated as the sales take place. While the shares …

Son & Mom Enjoined in Penny Stock Scheme

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Posted on by T. Gorman Posted in SECActions

One current area of focus for Commission enforcement is penny stocks. There is nothing new about this focus. From the earliest days of the Division, penny stocks have been a central concern. Repeated actions have been brought based on the …

Two Penny Stock Schemes Read More »

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