Tag: Securities Fraud

Securities fraud involves illegal activities that violate various state and federal securities regulations. Securities fraud generally involves some form of market manipulation or the use of false information to either raise capital for a corporation or to secure an ill-gotten gain by engaging in inappropriate activities. Securities fraud can involve private placements for both private and public corporations, micro-cap securities, or the very largest of corporations. The enforcement of securities regulations and the prosecution of violation is generally handled by the Securities Exchange Commission or state securities agencies. In rare instances, local law enforcement will become involved.

SEC Action on False Press Releases

  SEC Action Regarding False Press Releases I recently came across an older litigation release where the SEC charged a company and its CEO with making false press releases.  I wanted to take a closer look at this regulatory action…

Toxic Financing Explained

Toxic Financing Explained We have reviewed countless financing proposal and documents on behalf of our clients over the years.  It seems lately that we have had a surge in calls recently asking us to review documents that were for toxic…

SEC Obtains Final Judgment in AutoChina Market Manipulation Case

In 2012 we 1st took a look at the SEC enforcement action against AutoChina International for market manipulation. Roughly two (2) years later, the SEC has obtained its first judgments against the company and its principal executive officer in this case.