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03/13/2014

SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a promoter behind a platform of affiliated microcap stock promotion websites.Read more

03/13/2014

SEC Charges CR Intrinsic Analyst with Insider Trading

The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge fund advisory firm S.A.C. Capital Advisors with insider trading based on nonpublic information that he obtained about a pair of technology companies. Read more

03/12/2014

SEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis

The Securities and Exchange Commission today charged global investment bank and brokerage firm Jefferies LLC with failing to supervise employees on its mortgage-backed securities desk who were lying to customers about pricing.Read more

03/11/2014

SEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud. U.S.-Based Audit Committee Chair Charged for Complicity in Scheme.

The Securities and Exchange Commission today charged an animal feed company and top executives with conducting a massive accounting fraud in which they repeatedly reported fake revenues from their China operations in order to meet financial targets and prop up the stock price.Read more

03/06/2014

SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm

The Securities and Exchange Commission today charged five executives and finance professionals with facilitating a $150 million fraudulent bond offering by Dewey & LeBoeuf, the international law firm where they worked.Read more