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Securities and Exchange Commission (SEC) › Securities Fraud › Private Offerings

Society of Corporate Compliance and Ethics...

The SEC's Reach Beyond Publicly Traded Companies

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Think you don’t have to worry about the SEC because you’re at a private company or a non-profit? Think again says, Kevin Muhlendorf, attorney at Wiley Rein. You may still end up in the Commission’s crosshairs. He warns that...more

Dorsey & Whitney LLP

SEC Files Action Based on Misappropriation of Pre-IPO Shares

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The SEC filed a fraud action based on the misappropriation of shares of a private firm held by investors through an LLC. The shares were then resold and reissued to other investors. SEC v. Kumar, Civil Action No. 23145 (N.D....more

Katten Muchin Rosenman LLP

SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements

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On August 4, the Securities and Exchange Commission’s Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements. In the Alert, the Office...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending July 3, 2014)

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In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation of its dark pool....more

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