Category Archives: CFTC case

Initial Coin Offerings and SEC Enforcement: Protecting Investors (Part I)

Posted on May 30, 2018 by

  By Dan Portnov The SEC’s Office of Investor Education and Advocacy (“OIEA”) came in hot last week with its HoweyCoin initial coin offering pre-sale – a mock ICO designed to teach cryptocurrency-hungry investors the lesson that some ICOs may … Continue reading →

Posted in CFTC case, Due Diligence, Investor fraud, SEC Investigation, Securities fraud | 2 Comments

Can You Be Liable Because of Your Job Title? Control Person Liability and Jon Corzine

Posted on January 27, 2016 by

One of the primary differences between criminal and civil liability is that criminal liability requires the government to prove that the defendant acted wrongfully. In a civil case, an employer may be held liable under a theory of respondeat superior … Continue reading →

Posted in CFTC case, civil case, Uncategorized | Tagged | 1 Comment