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Securities Fraud › Broker-Dealer › Retail Investors

King & Spalding

Fewer Cases So Far, with a Focus on Retail Investor Fraud – A Look at the First Six Months of SEC Enforcement Under the New...

King & Spalding on

The enforcement results for the first six months of the new administration show that while the Securities and Exchange Commission (“SEC”) has instituted substantially fewer new enforcement actions as compared to the same...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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