Topic
Offering Fraud
74 published works
SEC Actions
SEC Files Offering Fraud, Reg FD Action
Offering fraud cases typically have some kind of “hook” – a product, pitch line, or something that is designed to entice investors to consider the investment. Eventually it is that…
SEC Actions
An Offering Fraud Tied to Marijuana
Offering fraud actions are one of the largest categories of cases brought by the Enforcement Division. While they are based on a wide variety of claims, many are keyed to…
SEC Actions
Another Offering Fraud Tied to Marijuana
Marijuana seems to be a new focus for offering fraud actions brought by the Commission. Last week the agency brought an offering fraud action that involved claims regarding the substance.…
SEC Actions
Offering Frauds – an SEC Staple
Offering fraud actions are a staple of the SEC’s enforcement program. Many of the actions focus on selling shares of microcap issuers. Frequently investors are solicited to part with their…
SEC Actions
An Offering Fraud That Differs from Others
Offering frauds have long been an area of focus for SEC enforcement. Currently, it is one of the key types of cases on which the Division of Enforcement is focused.…
SEC Actions
Offering Fraud Actions: A Continuing Focus
Offering frauds are continuing to be a key focus of the Commission’s enforcement program, despite the on-going discussions about crypto, the environment and other subjects. These cases have long been…
SEC Actions
Offering Fraud Cases: A Quick Buck Equals A Big Loss
Offering fraud actions are one of the largest groups of cases brought by the Commission. The cases generally have a common theme – those running the scheme offer securities that…
SEC Actions
Two Criminal Offering Fraud Actions
Offering frauds have become a staple of SEC enforcement at least since Madoff was uncovered and jailed years ago. Now it may also become a key area of interest for…
SEC Actions
A Streaming Service Fronts for a Boiler Room
Those conducting offering frauds often tie the company and the shares they are peddling to the latest public craze. For a while blockchain and crypto was all the rage. The…
SEC Actions
SEC Resolves Offering Fraud Action Based on a Vision
Offering frauds have become a key focus of SEC enforcement, a point illustrated in earlier posts. All too often, those conducting the offerings craft cleaver catch lines to lure in…