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News and Alerts

06/18/2014

Investor Alert: Affinity Fraud

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable groups, such as religious or ethnic communities or the elderly.Read more

06/16/2014

Investor Bulletin: Behavioral Patterns of U.S. Investors

In 2010, the SEC’s Office of Investor Education and Advocacy asked the Library of Congress’s Federal Research Division to prepare a report on behavioral traits of U.S. investors (Report). We are issuing this Investor Bulletin to remind investors about the Report’s findings and highlight the investing behaviors identified in the study that can undermine investment performance.Read more

06/16/2014

SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower. First SEC Case Under New Authority to Bring Anti-Retaliation Enforcement Actions.

The Securities and Exchange Commission today charged an Albany, N.Y.-based hedge fund advisory firm with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the SEC. This is the first time the SEC has filed a case under its new authority to bring anti-retaliation enforcement actions. The SEC also charged the firm’s owner with causing the improper principal transactions. Read more

06/13/2014

SEC Charges Four California Residents in $12 Million Insider Trading Scheme

The Securities and Exchange Commission today charged four Northern California residents with insider trading in Ross Stores stock options based on nonpublic information about monthly sales results leaked by one of the retailer’s employees.Read more

06/11/2014

Investor Alert: Check out Your Financial Professional

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify and be aware of financial professionals that may have a history of misconduct.Read more