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04/08/2014

SEC Charges CVS With Misleading Investors and Committing Accounting Violations

The Securities and Exchange Commission today charged CVS Caremark Corp. with misleading investors about significant financial setbacks and using improper accounting that artificially boosted its financial performance.Read more

04/08/2014

SEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos

The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based Ponzi scheme targeting investors through YouTube videos and selling them investments in a product called virtual concierge machines (VCMs) that would purportedly generate guaranteed returns of 300 to 500 percent in four years.Read more

04/08/2014

SEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media

The Securities and Exchange Commission today announced fraud charges against a Honolulu woman posing as an investment banker and soliciting investors through Twitter, Facebook, and other social media.Read more

04/04/2014

SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading Firm and Co-Owners Charged With Registration Violations

The Securities and Exchange Commission today charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly traded stocks through an illegal practice known as “layering” or “spoofing.” Read more

04/04/2014

SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award

The Securities and Exchange Commission today announced that the whistleblower who received the first award under the agency’s new whistleblower program will receive an additional $150,000 payout after the SEC collected additional funds in the case.Read more