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News and Alerts

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

09/22/2014

SEC Announces Largest-Ever Whistleblower Award

The Securities and Exchange Commission today announced an expected award of more than $30 million to a whistleblower who provided key original information that led to a successful SEC enforcement action. Read more

09/16/2014

SEC Sanctions 19 Firms and Individual Trader for Short Selling Violations in Advance of Stock Offerings

The Securities and Exchange Commission today announced the latest sanctions in a continuing enforcement initiative uncovering certain hedge fund advisers and private equity firms that have illegally participated in an offering of a stock after short selling it during a restricted period.Read more

09/16/2014

SEC and SBA to Partner on Events on Small Business Capital Raising Under the Jumpstart Our Business Startups (JOBS) Act

The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, announced today they will jointly host events to inform small business owners and entrepreneurs about new options that are and will become available for capital raising under the Jumpstart Our Business Startups (JOBS) Act.Read more

09/16/2014

SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme

The Securities and Exchange Commission today announced an emergency asset freeze against a company located in Turks and Caicos Islands in connection with its operation of a South Florida-based Ponzi scheme.Read more