T. Gorman

SEC Actions

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SEC Claims Digital Asset LBRY Is Unregistered Security

USA - March 31 2021 Crypto currencies began life with the idea of “being off the grid.” Later at least some versions claimed to be part of the grid. As crypto mutated…

This Week In Securities Litigation (Week of Dec. 30, 2019)

Australia, Hong Kong, USA - December 29 2019 The New Year looms with a host of issues for Chairman Jay Clayton and the other Commissioners. Those range from issues keyed to enforcement such as…

Son, Tipped By Father, Convicted of Insider Trading

USA - January 15 2020 As 2019 drew to a close a father and son resolved an insider trading case with the Manhattan U.S. Attorney’s Office. The action centered on trading…

This Week In Securities Litigation (Week of Sept. 30, 2019)

USA - September 30 2019 The government fiscal year draws to a close today. Looming are the budget hearings for fiscal 2020. The Commission estimates that securities trading…

Adviser Falsely Inflating NAV Charged with Fraud by SEC

USA - May 14 2020 The main street investor focus of SEC Enforcement has spawned a series of offering fraud cases. It has, at the same time, resulted in a series of…