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News and Alerts

09/25/2014

SEC Charges Arizona-Based Software Company for Inadequate Internal Accounting Controls Over Its Financial Reporting

The Securities and Exchange Commission today sanctioned a Scottsdale, Ariz.-based software company for having inadequate internal accounting controls over its financial reporting, which resulted in misstated revenues in public filings.Read more

09/25/2014

SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme - CEO Agrees to Return $2.5 Million Under Clawback Provision

The Securities and Exchange Commission today charged a Silicon Valley-based software company and two former executives behind an accounting fraud in which timesheets were falsified to hit quarterly financial targets.Read more

09/24/2014

Investor Bulletin: Private Placements Under Regulation D

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, or private placements, under Regulation D of the Securities Act.Read more

09/23/2014

SEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud - Transfer Agent Also Charged for Missing Red Flags in Unlawful Distribution of Shares Used in Scheme

The Securities and Exchange Commission today charged a Florida-based penny stock company and its CEO with defrauding investors by issuing false and misleading press releases proclaiming large sales and fantastic revenue projections while the purported health food company actually was a failing enterprise. Read more

09/23/2014

SEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent

The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a transfer agent that was the subject of an SEC enforcement action two months ago.Read more