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News and Alerts

10/22/2014

Investor Bulletin: SEC Investigations

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of how the SEC’s Division of Enforcement conducts investigations.Read more

10/17/2014

SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds

The Securities and Exchange Commission today charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised from investors for a Caribbean vacation and plastic surgery.Read more

10/16/2014

SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices - First High Frequency Trading Manipulation Case

The Securities and Exchange Commission today sanctioned a New York City-based high frequency trading firm for placing a large number of aggressive, rapid-fire trades in the final two seconds of almost every trading day during a six-month period to manipulate the closing prices of thousands of NASDAQ-listed stocks. This marks the first high frequency trading manipulation case.Read more

10/16/2014

SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases - New Investigative Approaches and Innovative Use of Data and Analytical Tools Help Drive Successful Enforcement Year

The Securities and Exchange Commission today announced that in fiscal year 2014, new investigative approaches and the innovative use of data and analytical tools contributed to a very strong year for enforcement marked by cases that spanned the securities industry. Read more

10/14/2014

SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company

The Securities and Exchange Commission today announced insider trading charges against a Massachusetts man who allegedly tipped his friend with nonpublic information about potential acquisition targets of the pharmaceutical company where he worked.Read more