Receiving a subpoena from the Securities and Exchange Commission can be an unnerving and jarring event for microcap companies and their executives. However, it is important to keep in mind that whi...
The Securities and Exchange Commission (SEC) is taking a renewed interest in employment and separation agreements that could discourage whistleblowing. In September 2023, the SEC announced enforcem...
The dissemination of false, misleading or improperly exaggerated press releases remains a pervasive problem in the microcap stock markets. Savvy investors must watch for "red flags" revealing unrel...
Two weeks ago, the Securities and Exchange Commission (SEC) initiated an eye-popping 50-plus new enforcement actions. In stark contrast, last week saw only three such actions. Although the quantity...
The hype and volatility surrounding cryptocurrency markets increasingly creates opportunities for misconduct involving microcap stocks. Securities regulators are prioritizing enforcement at this da...
Robust whistleblower protections enacted over the last two decades exist to safeguard insiders or employees who courageously expose fraud or misconduct occurring within microcap and small capitaliz...
The microcap stock markets remain highly vulnerable to market manipulation schemes that undermine integrity and inflict harm on ordinary investors. Policing abuses and illegal tactics in smaller ca...
Alongside "pump and dump" manipulations, "short and distort" schemes also pose substantial risks in microcap stocks. These illegal schemes aim to profit by taking short positions and then spreading...
The NYSE submitted a proposed rule change to the SEC that would revise the initial listing requirements.
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Scott Taffet discusses how New York litigators are overlooking the Offer to Compromise as a powerful but underused settlement tool.
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