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News and Alerts

06/17/2015

Investor Alert: Beware of Fantasy Stock Trading Websites Offering Real Returns

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fantasy stock trading and other similar websites that may violate federal securities laws designed to protect investors from abuses in the swaps market.Read more

06/15/2015

Investor Alert for Seniors: Five Red Flags of Investment Fraud

Older Americans are often targets of investment fraud. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud. Below are five “red flags” seniors should look out for when making an investment decision.Read more

06/10/2015

SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses

The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge fund manager and defrauding small companies out of more than $4 million. Read more

06/09/2015

Trader to Pay $1 Million for Short Selling Violations

The Securities and Exchange Commission today announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he shorted U.S. stocks in companies planning follow-on offerings and then illegally bought shares in the follow-on offerings to lock in significant profits with little to no market risk.Read more

06/09/2015

SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger

The Securities and Exchange Commission today charged three men living in California with insider trading in the stock and options of a biotechnology company where one of them worked. Read more