Topic
Offering Fraud
74 published works
SEC Actions
Former NFL Player Convicted in Offering Fraud Action
Offering fraud actions, long a key staple of the SEC Enforcement Division, the DOJ and others, continue to proliferate despite repeated efforts to alert and educate investors. For example, on…
SEC Actions
This Week In Securities Litigation (Week of Oct. 28, 2019)
A look forward; a look back: Data analytics continues to be a key theme of Commission enforcement actions. Last week the agency filed a huge international insider trading action which…
SEC Actions
The SEC’s Drive to Year End: Large Groups of Cases Filed, Part I
It appears that the Commission made a year-end effort to push the cases out the door. Last week the agency filed about 30 actions. On Friday and Monday the drive…
SEC Actions
SEC Claims “Gifts for Donations” Offer was Sham
Offering frauds have long been a staple of the Commission’s enforcement division. These cases, which often target specific groups, also fit comfortably within the current “main street” investor focus of…
SEC Actions
Three Offering Frauds; Thee Different Situations; In Each Investors Lose
Actions centered on an offering fraud – the sale of securities through misleading and fraudulent claims – have become a staple in the era of the retail investor. Yet labeling…
SEC Actions
SEC Offering Fraud: A Multi- Year, Multi-Faceted Ponzi Scheme
While there is no doubt that microcap fraud is a key focus of SEC Enforcement, another staple of the Division is offering fraud and Ponzi scheme actions. Typically, those actions…
SEC Actions
SEC Resolves Cross-Border Offering Fraud Action
Offering frauds are one of the key staples of SEC Enforcement. These cases may well be the largest single category of actions by the end of the fiscal year. That…
SEC Actions
This Week In Securities Litigation (Week ending April 19, 2019)
In a week that ends with religious holidays, the Commission’s enforcement efforts focused on offering fraud cases and insider trading. One offering fraud action centered on a state registered investment…
SEC Actions
SEC Files Another Offering Fraud Action
Offering fraud actions have become one of the staples of the Enforcement Division. With a focus on protecting retail investors, the Division has initiated a series of these cases which…
SEC Actions
This Week In Securities Litigation (Week ending March 22, 2019)
The SEC – Musk disputed continued this week. In the latest round, the Commission escalated the claims, alleging that Mr. Musk never complied with the Court’s order requiring that material…