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News and Alerts

02/27/2015

Investor Bulletin: Roth TSP for Uniformed Services Members

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate uniformed services members about the Roth Thrift Savings Plan.Read more

02/27/2015

SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo

The Securities and Exchange Commission today charged a purported venture capital fund manager in Buffalo, N.Y., with fraudulently using money from three investment funds to pay fictitious returns to investors in a different fund. The SEC obtained an emergency asset freeze to halt the Ponzi-like scheme.Read more

02/19/2015

SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions

The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). Read more

02/19/2015

SEC Charges Brothers-in-Law in Louisiana With Insider Trading

The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law whom he allegedly tipped with nonpublic information ahead of the company’s merger. Read more

02/18/2015

SEC Halts Colorado-Based Pyramid Scheme

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against two operators of a Colorado-based pyramid and Ponzi scheme that promises investors extraordinary returns of 700 percent through a purported “triple algorithm” and “3-D matrix.”Read more