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Microcap Stock Manipulation: How to Detect and Avoid it

Tuesday, March 25, 2014 12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


Speculative microcap and low-priced OTC securities continue to be an area of significant ongoing concern for securities regulators.   Many anticipate this will be an area of increasing concern for bank regulators, as well.  This program will explore what microcap stock fraud really is, how to detect it, and  how you can help steer your bank and broker-dealer clients through treacherous waters while still carrying legitimate transactions.  The truth is, one person's microcap fraud might be another's legitimate capital formation structure.  Come learn the difference, and how far things have evolved since the world portrayed in Leonardo DiCaprio's Wolf of Wall Street.

Sponsoring Section/Committee(s):


  • George Arnett
    • McCarter & English - NJ Office
  • Elizabeth Paige Baumann
  • Marc Minor
    • New York Office of the Attorney General



Elizabeth Vincensi


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