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News and Alerts

12/02/2014

SEC Charges California Resident With Fraudulent Sales of Stock

The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock that he claimed to own when he had actually purchased them for others a few years before.Read more

11/21/2014

SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale

The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with confidential details about his New Jersey-based company’s nonpublic merger discussions that enabled the friend to make $164,260 in trading profits after it was sold to a private equity firm.Read more

11/20/2014

Investor Alert: Investment Scams Involving Ebola-Related Companies

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment scams involving companies that claim their products or services relate to Ebola.Read more

11/20/2014

SEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola - Agency Issues Investor Alert Warning of Fraud Risks in Thinly-Traded Stocks of Companies Linking Future Business Prospects to Ebola Outbreak

The Securities and Exchange Commission today suspended trading in four companies that claim to be developing products or services in response to the Ebola outbreak, citing a lack of publicly available information about the companies’ operations.Read more

11/18/2014

SEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme

The Securities and Exchange Commission today charged an unregistered broker living outside Tampa, Fla., with stealing investor funds as part of a fraudulent day trading scheme.Read more