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News and Alerts

12/04/2014

SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company

The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving the stock of a Northern Virginia-based company that claims to be in the airport security business. Read more

12/03/2014

SEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences

The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider accused of listing fake occupants at some senior residences in order to meet the requirements of a lease to operate the facilities.Read more

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