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Securities and Exchange Commission (SEC) › Broker-Dealer › Offering Fraud

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: July 1, 2025

Nutter McClennen & Fish LLP on

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Dorsey & Whitney LLP

SEC Enforcement: The Fourth Quarter of 2020

Dorsey & Whitney LLP on

The fourth quarter of calendar year 2020 continued trends evidenced in the third quarter of the year, although far fewer cases were initiated. There were actions brought in a number of key areas such as offering fraud cases,...more

Stinson - Corporate & Securities Law Blog

SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities

Stinson - Corporate & Securities Law Blog on

The SEC charged fifteen individuals with acting as unregistered brokers or aiding-and-abetting such activity in connection with Intertech Solutions, Inc.’s fraudulent and unregistered securities offerings....more

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