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News and Alerts

06/16/2015

SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme

The Securities and Exchange Commission today announced charges against an Ohio-based self-directed IRA provider accused of ignoring red flags for accounts with investments that turned out to be fraudulent.Read more

06/15/2015

Investor Alert for Seniors: Five Red Flags of Investment Fraud

Older Americans are often targets of investment fraud. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud. Below are five “red flags” seniors should look out for when making an investment decision.Read more

06/15/2015

Investment Advisory Firm’s Former President Charged With Stealing Client Funds

The Securities and Exchange Commission today announced fraud charges against a Washington D.C.-based investment advisory firm’s former president accused of stealing client funds. The firm and its chief compliance officer separately agreed to settle charges that they were responsible for compliance failures and other violations.Read more

06/10/2015

SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses

The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge fund manager and defrauding small companies out of more than $4 million. Read more

06/09/2015

Trader to Pay $1 Million for Short Selling Violations

The Securities and Exchange Commission today announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he shorted U.S. stocks in companies planning follow-on offerings and then illegally bought shares in the follow-on offerings to lock in significant profits with little to no market risk.Read more