Adviser Builds His New Firm While At Another
It is axiomatic that an investment adviser is duty bound to act in the best interest of the client. This means in part that the adviser must put the interests of the client before their personal...
View ArticleClaims About Nutrient-infused Water Yield Millions
Offering frauds are one of the most prevalent types of cases brought by the Commission. In many of these cases the perpetrator is not known to those conducting the fraud. Yet investors frequently...
View ArticleCommission Continues to Focus on Ponzi Schemes
Ponzi schemes seem to be the key point of interest for the Commission’s enforcement program recently. Many of the cases being filed are Ponzi schemes or at least a variation of one. While it is...
View ArticleThis Week In Securities Litigation (Week of September 22, 2025)
The Commission filed one new enforcement action last week It centered on Misrepresentations. The agency also dismissed three different enforcement actions. As noted in earlier articles on such cases,...
View ArticleMillions of Dollars Raised From U.S. Investors for Canadian Company
Authorization for certain corporate actions is typically required by the board of directors for significant undertakings such as soliciting investors to purchase shares or interests in the company to...
View ArticleAcquisitions of Name Brand Entities At Center Of Fraud Scheme
Frequently well-known retail operations fail and are liquidated through a bankruptcy proceeding. In some instances, the retail brand name may be purchased from bankruptcy followed by an attempt to...
View ArticleThis Week In Securities Litigation (Week of September 29, 2025)
The Commission filed three new actions last week. One centered on an account take over, a second on free riding and a third on false statements. In addition, the agency announced the settlement of...
View ArticleA Cattle Based Ponzi Scheme
Ponzi schemes are frequent vehicles for fraudsters to make money – and investors to lose it. The device is simple enough to create and use. Typically, the fraudster offers shares of an investment for...
View ArticleProfitable Investment Scheme Is Actually a Sham
The point of investing is to try and make additional money by investing the funds profitably. The crucial point for investors is thus the returns an investment strategy generates – no returns, no...
View ArticleThis Week In Securities Litigation (Week of October 6, 2025)
The Commission filed three new enforcement actions last week. One centered on investment fraud, a second on misappropriation and a third on financial fraud. Be careful this week, be safe. SEC...
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