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News and Alerts

08/15/2014

SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology to enable environmentally friendly oil-and-gas production.Read more

08/14/2014

SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client. Three Others Also Charged After SEC Search of Stock Exchange Records Uncovers Additional Trades by Other Clients of Accountant

The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the stock of a restaurant company based on confidential information he learned from a client on the board of directors who came to him for tax advice in advance of a tender offer announcement.Read more

08/14/2014

SEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme

The Securities and Exchange Commission today charged New York-based brokerage firm Linkbrokers Derivatives LLC for unlawfully taking secret profits of more than $18 million from customers by adding hidden markups and markdowns to their trades.Read more

08/08/2014

SEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating net capital requirements and falsifying books and records to conceal the capital deficiencies.Read more

08/08/2014

SEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager

The Securities and Exchange Commission today charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund manager at the center of the scheme.Read more