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75% of CFOs Embrace Double Digit Spending Increases
CFOs want to spend more, but access to capital is the challenge, per the CFO Alliance sentiment report.
By
Adam Zaki
| January 26, 2023
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Pump and dump
Risk & Compliance
SEC Gives Bond Dealers 3-Month Reprieve
The commission has delayed enforcement of amendments to a disclosure rule amid concerns over its potential impact on the bond markets.
By
Matthew Heller
| September 27, 2021
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Risk & Compliance
Seven Accused of $45M Pump-and-Dump Fraud
Kelly Kabilafkas allegedly orchestrated a fraud that culminated in him and his associates dumping shares in Airborne Wireless Network.
By
Matthew Heller
| March 2, 2021
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Risk & Compliance
Attorneys Charged in $6M Microcap Fraud
The SEC says the lawyers played a "crucial role" in passing off at least 22 shell companies as legitimate startups.
By
Matthew Heller
| October 12, 2017
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Technology
SEC Warns of Initial Coin Offering Fraud Risks
Fraudsters could be using “the lure of new and emerging technologies to convince potential victims" to invest in companies that promote ICOs.
By
Matthew Heller
| August 29, 2017
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Risk & Compliance
Nine Charged With Jammin’ Java Stock Fraud
The SEC alleges stock promoter Shane Whittle orchestrated a "pump-and-dump" scheme that artificially inflated the coffee distributor's share price.
By
Matthew Heller
| November 18, 2015
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Risk & Compliance
Three Charged With Medical Firm ‘Pump-and-Dump’
The microcap markets are of increasing concern to regulators, says the U.S. Attorney's Office.
By
Matthew Heller
| September 15, 2015
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Risk & Compliance
SEC Charges 34 Defendants With Microcap Fraud
Fifteen individuals and 19 firms allegedly participated in "pump-and-dump" schemes that netted $6.5 million in illegal profits.
By
Matthew Heller
| July 15, 2015
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IPOs
SEC Suspends Trading in 128 Shell Companies
Doing so puts the 128 dormant penny-stock companies out of reach of 'microcap fraudsters,' says the Securities and Exchange Commission.
By
Vincent Ryan
| March 2, 2015
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Risk & Compliance
Ebola Microcaps Suspended From Trading
The SEC halted trading in the shares of four thinly traded companies that are "purportedly involved in Ebola prevention, testing or treatment."
By
Vincent Ryan
| November 20, 2014
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