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News and Alerts

06/24/2013

Investor Alert:  Beware Investment Offers Implying SEC Endorsement

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify fraudulent investment offers made by firms purporting to have met with the SEC, including in international locations (such as Dubai). SEC staff is aware of a number of fraudulent schemes where the person offering the so-called investment refers to meetings with the SEC as a way of convincing potential investors that the fraudulent investment opportunity is legitimate. The SEC does not "approve" or "endorse" any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal.Read more

06/12/2013

Investor Alert—Don’t Trade on Pump-And-Dump Stock Emails

FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to warn investors to be on the lookout for email spam promoting “pump-and-dump” stock scams.Read more

06/10/2013

SEC Charges Top Officials At Investment Adviser in Scheme to Hide Theft From Pension Fund of Detroit Police and Firefighters

The Securities and Exchange Commission today charged the leader of a Detroit-based investment adviser for stealing nearly $3.1 million from the pension fund that the firm manages for the city's police officers and firefighters so he could buy two strip malls in California. The SEC charged four other top officials at the firm for helping him try to cover up the theft.Read more

06/07/2013

SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Networks

Washington, D.C., June 7, 2013 — The Securities and Exchange Commission today charged a South Pasadena, Calif.-based wealth management company and a former fund manager with insider trading on non-public information about technology companies. The charges are the agency’s latest in its ongoing investigation into expert networks and hedge fund trading.Read more

06/06/2013

Investor Alert: Binary Options and Fraud

The SEC’s Office of Investor Education and Advocacy and the Commodity Futures Trading Commission’s Office of Consumer Outreach (CFTC) are issuing this Investor Alert to warn investors about fraudulent promotion schemes involving binary options and binary options trading platforms. These schemes allegedly involve, among other things, the refusal to credit customer accounts or reimburse funds to customers, identity theft, and manipulation of software to generate losing trades.Read more