Insider trading poses major risks for microcap companies. The Securities and Exchange Commission (SEC) aggressively enforces insider trading laws across markets, including microcap stocks. This art...
So-called "pump and dump" schemes continue posing major risks in the microcap markets. These illegal schemes to manipulate share prices remain an area of aggressive enforcement by the Securities an...
As we approach the end of the Government fiscal year, the Securities and Exchange Commission (SEC) has been particularly active. This week alone, the Commission filed a myriad of cases touching on ...
In a recent development that has caught the attention of the investment community, the U.S. Securities and Exchange Commission (SEC) has issued a settled Order against Prime Group Holdings LLC, a p...
After a law firm fell victim to a cyberattack, the U.S. Securities and Exchange Commission (SEC) issued a subpoena demanding various pieces of information, including the identities of clients poten...
A recent federal court decision granting summary judgment to the Securities and Exchange Commission (SEC) in an unregistered securities dealer enforcement action sent shockwaves through the financi...
Whistleblowers have become increasingly integral to financial regulatory enforcement efforts in recent years. Both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Com...
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