Category Archives: Securities Enforcement

Massachusetts Regulators Placing Increased Focus on Cannabis-Related Securities Offerings

Massachusetts Secretary of State Bill Galvin and his Securities Division are increasingly turning their attention toward securities offerings in the cannabis industry, as demonstrated by the June 19, 2019 filing of the second enforcement action against a cannabis business in the last two months.  The filing was accompanied by a statement from Galvin warning of future sweeps in the industry.

The latest enforcement action, brought against Positronic Farms,… More

Trends in Securities Enforcement Discussed at BBA’s White Collar Conference

We have been writing about white-collar enforcement trends discussed at the Boston Bar Association’s recent White Collar Crime Conference (see here and here). Today we look at one area that was the subject of much discussion at the conference: securities enforcement.

Paul Levenson, Director of the Boston Regional Office of the U.S. Securities and Exchange Commission (SEC), said that the SEC is looking closely at microcap fraud,… More