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News and Alerts

12/12/2014

SEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme

The Securities and Exchange Commission today charged a Manhattan-based attorney with conducting a Ponzi scheme that defrauded some of his legal clients as well as close family members and friends.Read more

12/10/2014

SEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund. Hedge Fund’s Portfolio Manager Agrees to Settle Charges

The Securities and Exchange Commission today announced fraud charges against a Buffalo, N.Y.-based investment advisory firm and two co-owners accused of making false and misleading statements to clients when recommending investments in a risky hedge fund. The hedge fund’s portfolio manager agreed to settle similar charges.Read more

12/08/2014

SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations

The Securities and Exchange Commission today sanctioned a computer programmer for operating two online venues that traded securities using virtual currencies Bitcoin or Litecoin without registering the venues as broker-dealers or stock exchanges.Read more

12/04/2014

SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company

The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving the stock of a Northern Virginia-based company that claims to be in the airport security business. Read more

12/03/2014

SEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences

The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider accused of listing fake occupants at some senior residences in order to meet the requirements of a lease to operate the facilities.Read more