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Navigating the Intersection of Cryptocurrency and Microcap Fraud Risks
White Collar

Navigating the Intersection of Cryptocurrency and Microcap Fraud Risks

The hype and volatility surrounding cryptocurrency markets increasingly creates opportunities for misconduct involving microcap stocks. Securities regulators are prioritizing enforcement at this da...

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Whistleblower Rights and Protections: Safeguarding Those Exposing Microcap and Small Cap Fraud
White Collar

Whistleblower Rights and Protections: Safeguarding Those Exposing Microcap and Small Cap Fraud

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...

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Microcap Market Manipulation: SEC Detection and Enforcement of Schemes and Risks
White Collar

Microcap Market Manipulation: SEC Detection and Enforcement of Schemes and Risks

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...

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Short and Distort Schemes: An In-Depth Examination of Manipulation Risks for Microcap Firms
White Collar

Short and Distort Schemes: An In-Depth Examination of Manipulation Risks for Microcap Firms

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...

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Shell Companies and Reverse Mergers: An In-Depth Examination of the Risks for Microcap Investors
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Shell Companies and Reverse Mergers: An In-Depth Examination of the Risks for Microcap Investors

Investing in microcap shell companies or firms engaging in reverse merger transactions carries substantial risks of which investors must be aware. This article provides an in-depth examination of h...

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Navigating Regulation A+ Offerings: Considerations for Microcap Firms
White Collar

Navigating Regulation A+ Offerings: Considerations for Microcap Firms

Regulation A+ ("Reg A+") provides an intriguing capital-raising pathway for microcap companies as an alternative to a traditional initial public offering (IPO). Here we examine how Reg A+ works, it...

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False or Misleading Financial Disclosures: Risk Mitigation for Microcap Firms
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False or Misleading Financial Disclosures: Risk Mitigation for Microcap Firms

Inaccurate financial reporting poses major risks for microcap companies. False or misleading financial statements filed with the Securities and Exchange Commission (SEC) undermine investor trust an...

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Navigating Insider Trading Risks: Issues and SEC Enforcement Trends Impacting Microcap Firms
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Navigating Insider Trading Risks: Issues and SEC Enforcement Trends Impacting Microcap Firms

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...

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An In-Depth Examination of Pump and Dump Schemes in the Microcap Markets
White Collar

An In-Depth Examination of Pump and Dump Schemes in the Microcap Markets

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...

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This Week In Securities Litigation (Week of September 25, 2023)
White Collar

This Week In Securities Litigation (Week of September 25, 2023)

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 ...

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Recent Articles

UNDERSTANDING STRUCTURED FINANCE OPINIONS: TRUE SALE AND NON-CONSOLIDATION
Corporate Finance
UNDERSTANDING STRUCTURED FINANCE OPINIONS: TRUE SALE AND NON-CONSOLIDATION
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ANALYZING LEGAL IMPLICATIONS OF DIGITAL TRANSFORMATION IN PUBLIC FINANCE
Public Finance
ANALYZING LEGAL IMPLICATIONS OF DIGITAL TRANSFORMATION IN PUBLIC FINANCE
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KEY FACTORS IN STRUCTURING SPECIAL ASSESSMENT DISTRICTS FOR PUBLIC INFRASTRUCTURE FINANCING
Public Finance
KEY FACTORS IN STRUCTURING SPECIAL ASSESSMENT DISTRICTS FOR PUBLIC INFRASTRUCTURE FINANCING
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