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News and Alerts

12/18/2014

SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors

The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculative start-up companies.Read more

12/16/2014

SEC Announces Charges in Alleged Gold Mining Investment Scheme

The Securities and Exchange Commission today announced charges against two individuals and their companies behind an alleged gold mining investment scheme based in Miami.Read more

12/15/2014

Investor Bulletin: Brokers' Miscellaneous Fees

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to make investors aware of the miscellaneous fees charged by some brokers.Read more

12/15/2014

SEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation - Houston-Based Attorney Charged With Facilitating Scheme in Gatekeeper Role

The Securities and Exchange Commission today charged a New Orleans-based oil-and-gas company and five executives with running a stock trading scheme in which they claimed to have struck oil in Belize in order to manipulate the price of the company’s stock as they illegally sold restricted shares to the public.Read more

12/12/2014

SEC Files Securities Fraud Charges Against Owner of Home Restoration Business in Upstate New York

The Securities and Exchange Commission today announced securities fraud charges against the owner of a home restoration business in upstate New York who sold unsecured notes to investors to finance his real estate operations.Read more