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News and Alerts

04/16/2013

Updated Investor Alert: SEC Warns of Government Impersonators

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission (including a recent bogus email scam using the name of Lori Schock, Director of the SEC’s Office of Investor Education and Advocacy).Read more

04/16/2013

SEC Charges Canada-Based Investment Banker with Insider Trading

Washington, D.C., April 16, 2013 — The Securities and Exchange Commission today charged an investment banker in Toronto with insider trading by using information that he obtained through his job of pitching investment ideas to the Canada Pension Plan Investment Board (CPPIB).Read more

04/16/2013

SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture

Washington, D.C., April 16, 2013 — The Securities and Exchange Commission today charged two former brokers in Arizona with stealing investments in a project to develop tankless water heaters.Read more

04/15/2013

SEC Charges Denver-Based Businessman with Insider Trading

Washington, D.C., April 15, 2013 — The Securities and Exchange Commission today charged a prominent Denver-based businessman with insider trading based on confidential information he obtained from the CEO of an oil and gas company that was about to secure a huge investment.Read more

04/15/2013

SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm

Washington, D.C., April 15, 2013 — The Securities and Exchange Commission today charged a former employee at a Connecticut-based brokerage firm with scheming to personally profit from placing unauthorized orders to buy Apple stock. When the scheme backfired, it ultimately caused the firm to cease operations.Read more