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News and Alerts

07/25/2014

SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition

The Securities and Exchange Commission today announced it has charged two additional brokers with trading on inside information ahead of the $1.2 billion acquisition of SPSS Inc. in 2009 by IBM Corporation. Read more

07/17/2014

Investor Bulletin: Ten Things You Should Know About Investing

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information that may help them make informed financial decisions and avoid common scams.Read more

07/17/2014

SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile

The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets to make loans to himself to buy a luxury vacation home and refinance a rare vintage automobile. Read more

07/17/2014

SEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump Scheme

The Securities and Exchange Commission today charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares of a medical education company in Pennsylvania and two other microcap stocks. Read more

07/11/2014

Updated Investor Alert: SEC Warns of Fake Correspondence

The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors that fraudsters may use fake SEC correspondence as part of a scam to steal your money (including phony letters using the SEC seal and purporting to be signed by SEC Inspector General Carl Hoecker).Read more