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The Securities and Exchange Commission added 23 soliciting companies, eight impersonators of legitimate businesses, and seven fake regulators to its list of unregistered entities that use deceptive details to solicit mainly non-U.S. investors.
The SEC’s Public Alert: Unregistered Soliciting Entities (PAUSE) list of soliciting entities that have been the target of investor concerns allows investors to better educate themselves and avoid becoming victims of fraud. Firms that the SEC finds to be presenting misleading details about their membership, venue, or registration are the most recent additions. Firms that solicit investors in the United States must register with the Securities and Exchange Commission (SEC) and meet minimum financial standards, as well as disclosure, reporting, and recordkeeping criteria.
“This latest update to the PAUSE list is part of our continuing constructive effort to protect main street investors using the knowledge and intelligence we collect,” said Jennifer Diamantis, Chief of the SEC’s Office of Market Intelligence. “We advise investors to consult the PAUSE list and other SEC tools that can help them avoid being victims of scams and to be on the lookout for red flags or warning signs of possible fraud as we experience an increase in tips, concerns, and referrals during these unprecedented times.”
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The bulk of the Division’s 405 stand-alone cases (32%) included stock sales, investment advisory and investment firm issues (21%) and issuer reporting, accounting, and auditing issues (15 percent). Other major issues included broker-dealer misconduct (10%), insider trading (8%), market manipulation (5%), public finance (3%), and violations of the Foreign Corrupt Practices Act (3%). (2 percent). The percentages of cases in each group stayed fairly consistent with the breakdown from FY 2019. The Division obtained over 475 market participant bars or suspensions, suspended trading in 196 issuers’ shares, and obtained 24 court-ordered asset freezes.
The Division’s increased emphasis on individual responsibility, which the Report identifies as “one of the Commission’s most successful methods of achieving deterrence,” is also noted in the Report.
Charges against one or more people, including chief executive officers, chief financial officers, chief operating officers, accountants, auditors, and lawyers, accounted for 72 percent of the Division’s stand-alone activities in FY 2020.
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Geoffrey Christopher Rapp, Harold A. Anderson Professor of Law and Values at the University of Toledo College of Law, has written the following piece for us. It’s based on his recent article, “Intelligence Design: An Analysis of the SEC’s New Office of Market Intelligence and Its Goal of Using Big Data to Improve Securities Compliance,” which appeared in the University of Cincinnati Law Review in Winter 2013 and can be found here.
In my new paper, “Intelligence Design: An Analysis of the SEC’s New Office of Market Intelligence and Its Goal of Using Big Data to Improve Securities Compliance,” I look at one of the new SEC initiatives developed in the wake of the Bernie Madoff scandal. On January 13, 2010, then-Director of Enforcement Robert Khuzami announced the creation of the Office of Market Intelligence (OMI).
According to Thomas Sporkin, OMI’s founding Chief, OMI will “triage and build tips and leads and bring the knowledge to the right people inside the Division in real time” as part of the SEC’s new Office of the Whistleblower. Sporkin, who is now a partner at Buckley Sandler, was an excellent choice to lead this new office because he was regarded as a rising star when he took the job at the age of 42, and he comes from a long line of SEC lawyers. Securities lawyer Russell Ryan told The Washington Post that the Sporkin family is to SEC compliance what the Manning family is to NFL football.
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During fiscal year 2020, the Securities and Exchange Commission brought the fewest compliance proceedings against corporations in seven years, indicating that the pandemic had an effect on the agency’s attempts to track fraud in the capital markets. The SEC filed 715 compliance actions during the fiscal year ended Sept. 30, compared to 862 the previous fiscal year, according to new data published Nov. 2 in the agency’s annual Enforcement Division report. The compliance volume in fiscal 2020 was the lowest since 2013, when it fell below 700.
The SEC’s actions against Telegram Group Inc., which resulted in a $1.22 billion disgorgement, and its findings that Wells Fargo & Co. had misled investors about its success when it was discovered to be opening unauthorized accounts on behalf of its custodian, helped to lift its disgorgement and penalty count in the most recent fiscal year. As part of a $3 billion settlement with the SEC and the Department of Justice, Wells Fargo agreed to pay the agency a $500 million civil penalty.