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News and Alerts

07/02/2015

SEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities

The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a pyramid and Ponzi scheme falsely promising a gold mine of investment opportunity to investors in Spanish and Portuguese-speaking communities in Massachusetts, Florida, and elsewhere in the U.S. Read more

07/01/2015

SEC Charges Former Stockbroker With Conducting Ponzi Scheme

The Securities and Exchange Commission today charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and afford his own vacations and other luxuries.Read more

06/23/2015

SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program

The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners seeking U.S. residency. The charges are the first against brokers handling investments in the government’s EB-5 Immigrant Investor Program and follow earlier SEC actions against fraudulent EB-5 offerings.Read more

06/18/2015

SEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors

The Securities and Exchange Commission today charged a Texas-based oil company and its CEO with defrauding investors about reserve estimates and drilling plans, and charged the author of a stock-picking newsletter for his role in a fraudulent promotional campaign encouraging readers to buy the oil company’s penny stock shares.Read more

06/17/2015

Investor Alert: Beware of Fantasy Stock Trading Websites Offering Real Returns

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fantasy stock trading and other similar websites that may violate federal securities laws designed to protect investors from abuses in the swaps market.Read more