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News and Alerts

02/25/2014

SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme

The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm for orchestrating a scheme to misallocate their expenses to the funds they manage.Read more

02/21/2014

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients

The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC.Read more

02/20/2014

SEC Charges Three California Residents Behind Movie Investment Scam

The Securities and Exchange Commission today charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors and generate exorbitant investment returns.Read more

02/19/2014

Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about how fees can impact the value of an investment portfolio. Read more

02/12/2014

SEC Names Rick Fleming as Investor Advocate

The Securities and Exchange Commission today announced that Rick A. Fleming has been named as the first head of the agency’s Office of the Investor Advocate. Read more