The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be engaged in the business of buying...
Cases involving the sale of unregistered securities and
Ponzi schemes were among the leading categories of cases brought last year
according to recent statistics from NERA Economic Consulting ( here ). The Commission's action
against Kenneth Dachman...