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News and Alerts


Investor Bulletin: How to Check Out Your Financial Professional

The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to provide investors with resources to check out a financial professional’s background. Even if a close friend or family member recommends a financial professional, you should still check out that person for signs of potential problems. Before becoming a customer, take the time to look at the registration status and background of any firm or financial professional you are considering. You should also be able to find out whether the individual is currently registered or licensed, or has been suspended, as well as the individual’s qualifications and employment history. These records are available through the SEC, FINRA, and/or state securities regulators.Read more


SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition

The Securities and Exchange Commission today charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial institution.Read more


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


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


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