Topic
Offering Fraud
74 published works
SEC Actions
A Pyramid-Ponzi Scheme Marketed with Mindfulness
Offering frauds have become the key staple of the Enforcement Division. The focus fits well with the Main Street investor theme frequently cited by the agency. Recently, however, there are…
SEC Actions
Promoters of Marketing Scheme Charged as Unregistered Brokers
A current staple of the Main Street investor focused Enforcement Division is the offering fraud. There the promoters typically offer the unsuspecting public deals that are too good to be…
SEC Actions
The Second Quarter: A Review of SEC Enforcement
In the second quarter of 2020 as the pandemic began to unfold the Enforcement Division continued to file new actions. Indeed, the agency filed a larger number of actions in…
SEC Actions
Another Offering Fraud Action by SEC
The Commission’s focus on small, retail investors seems to have turned into a near quest to uncover offering frauds of all types, sizes and configuration. To be sure these actions…
SEC Actions
Commission Settles Offering Fraud Targeting Chicago Jewish Community
The Commission has continued to bring offering fraud actions which may well be the leading category of enforcement actions for the year. One reason is the difficulty for many investors…
SEC Actions
This Week In Securities Litigation (Week of July 6, 2020)
The Commission enforcement program moved into the last segment of the fiscal year in the wake of the July 4th holiday. Traditionally during this period the agency pushes out every…
SEC Actions
SEC: Marijuana Deal is Just Another Offering Fraud
While offering fraud actions are a key staple of the Commission’s main street investor focused Enforcement program, many involve public entities. Indeed, the agency is typically thought of in the…
SEC Actions
Banned Broker Conducts Ponzi Scheme
Since the unraveling of Bernard Madoff and his giant Ponzi scheme in 2008, offering frauds have been a key focus for SEC Enforcement. Since then it seems there has been…
SEC Actions
Commission Continues to File Offering Fraud Actions
Offering fraud actions are a key part of the Commission’s focus on the main street investor. In many instances it is the small retail investor – including those using retirement…
SEC Actions
Commission Continues to File Offering Fraud Actions
Offering fraud actions are a key part of the Commission’s focus on the main street investor. In many instances it is the small retail investor – including those using retirement…