Skip to content

Font size: A- | A | A+

Investor.gov Logo for Print

News and Alerts

07/16/2015

SEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement

The Securities and Exchange Commission today charged a Pennsylvania attorney with insider trading in the stock of Harleysville Group, Inc. in advance of the 2011 announcement of a $760 million merger of Harleysville and Nationwide Mutual Insurance Company. Read more

07/14/2015

SEC Charges 34 Defendants in Microcap Market Manipulation Schemes

The Securities and Exchange Commission today charged 15 individuals and 19 entities for their roles in alleged schemes to manipulate the trading of microcap stocks. The 34 defendants include six firms alleged to have acted as unregistered broker-dealers catering to customers who sought to conceal their stock ownership and manipulate the market for microcap securities. Read more

07/13/2015

SEC Announces Settlement With Cooperator in Grand Central Post-It Notes Insider Trading Case

The Securities and Exchange Commission today announced a settlement with a Brooklyn man who entered into a cooperation agreement to help the agency mount evidence in an insider trading scheme in which illegal tips were passed via napkins or post-it notes at Grand Central Terminal. Read more

07/08/2015

Investor Bulletin: Regulation A

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. The SEC has recently amended Regulation A in order to create a new exemption from registration under the Securities Act, as mandated by the Jumpstart Our Business Startups (JOBS) Act, to enhance the ability of smaller companies to raise money. Read more

07/06/2015

SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors

The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a $68 million Ponzi-like scheme and affinity fraud that targeted the Chinese-American community in California and investors in Asia, including some solicited as part of the EB-5 Immigrant Investor Program.Read more