This 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...
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 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 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 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 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 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 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 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 ArticleAdviser 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 ArticleOwner, Funds Try to Deceive Clients
Telling the truth is key to the federal securities laws. Viewed in this context it is fundamental that advisers, their owners and others are candid with clients. Indeed, advisers have a fiduciary duty...
View ArticleThis Week In Securities Litigation (Week of September 8, 2025)
Last week the Commission filed three new actions. Those cases centered on offering fraud cases. Be careful this week, be safe. SEC Enforcement – Filed and Settled Actions Statistics: Last week the...
View ArticleA Multimillion Dollar Ponzi Scheme Tied to ATMs
It is often difficult to believe the number of people who are convinced to invest in Ponzi schemes. Over the years those schemes have received huge and at times seemingly endless amounts of publicity....
View ArticleThis Week In Securities Litigation (Week of September 1, 2025)
Only one new enforcement action was filed last week. It was based on an offering fraud. Th Be careful this week, be safe. SEC Enforcement – Filed and Settled Actions Statistics: Last week the...
View ArticleNew Enforcement Director Appointed
The Commission has appointed Judge Margaret Ryan as the next Director of the Division of Enforcement. Judge Ryan brings a variety of experience to the position. The Judge received her law degree from...
View ArticleCherry Picking Adviser is Barred for Five
Cherry picking is a practice long targeted by the Commission. At a minimum it is the ultimate conflict of interest. Viewed for what it is, the practice is at once theft and a lie. It centers on...
View ArticleThis Week In Securities Litigation (Week of August 25, 2025)
The Commission filed 7 new enforcement actions last week. Those focused on insider trading, offering frauds and false revenue. Be careful this week, be safe. SEC Enforcement – Filed and Settled...
View ArticleInvestment Adviser Fleeces Clients of Million
One of the most difficult things for investors may be to determine who to trust when considering investment advice. To be sure, there is no end of seemingly knowledgeable people prepared to offer...
View ArticleThis Week In Securities Litigation (Week of August 18, 2025)
The Commission filed five new enforcement actions last week. They focused largely of Ponzi schemes and similar types of frauds. No additional cases were voluntarily dismissed. Be careful, be safe. SEC...
View ArticleA Multi-Year Accounting Fraud
Many investors seek to obtain background materials on firms in which they invest. In making those requests many seek to obtain audited financial statements for the firm whose shares are being offered....
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