While the Commission continues to dismiss cases with prejudice without specifying the reasons, the agency is also filing new and settled cases in traditional areas. One of those areas is targeted offering frauds. Those typically focus on a specific group
SEC Actions
The SEC Actions blog, published by Thomas O. Gorman, focuses on enforcement actions and litigation related to securities regulation. It covers topics such as investment fraud, Ponzi schemes, financial fraud, account takeovers, false statements, and settlement of SEC cases. The blog also discusses specific types of fraud involving acquisitions of brand name entities and investment schemes. It provides updates on new SEC enforcement filings and settlements, highlighting patterns and risks in securities litigation and regulatory compliance.
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This Week In Securities Litigation (Week of May 26, 2025)
Last week the Commission filed four new enforcement actions. Four other cases were dismissed with prejudice. The papers did not offer an explanation for the dismissal. Be careful, be safe this week. SEC Enforcement – Filed and Settled Actions Statistics:…
Investor’s Funds Expended for Personal Items, Not on Company
Convincing investors to purchase a product based on misrepresentations is a traditional focus for the Commission’s enforcement division. In some of its cases the misrepresentations, while material, are straight forward. In others they are more complex. And, in some they…
Another Offering Fraud Action
Offering frauds are a longtime staple of the Commission’s enforcement division. These cases typically involve the originator of the scheme and his or her wholly owned entity that issues the securities. In many instances others are brought in to help…
This Week In Securities Litigation (Week of May 19, 2025)
The Commission filed one new administrative action last week. Other regulators published market advice on select topics to assist the markets and investors while streamlining key topics involved in in securities transactions. Be careful, be safe this week. Commission Remarks,…
Will the Commission Make the U.S. a “Crypto Capital” ?
In remarks delivered at the Crypto Task Force Roundtable on May 12, SEC Chair Paul Atkins may have launched a new day for crypto and the Commission (here). Chair Atkins appears to be focused on what he calls a goal…
This Week In Securities (Week of May 12, 2025)
The Commission filed two new enforcement actions last week. It also dismissed more cases that were tied to crypto. Be careful, be safe this week. SEC Enforcement – Filed and Settled Actions Statistics: Last week the Commission filed 2 new…
Swift, Wrongful Action – the Predicate for an Enforcement Action
Many Commission enforcement actions take a considerable period of time to unfold. It is not infrequent for the underlying facts to develop over long periods of time. That period is often followed by another lengthy period of time during which…
New York Real Estate Development Is Center of Fraud Scheme
Offering fraud cases are one of the most typical types of schemes used by those seeking to raise capital through a fraudulent scheme. The most recent action based on this type of scheme is also one of the most popular.…
This Week In Securities Litigation (Week of May 5, 2025)
Last week the Commission filed 10 new actions based on a variety of claims. Those ranged from crypto asset actions to Ponzi schemes and similar matters. Two of the cases filed were dismissed with prejudice as part of the Commission’s…