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04/08/2014

SEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media

The Securities and Exchange Commission today announced fraud charges against a Honolulu woman posing as an investment banker and soliciting investors through Twitter, Facebook, and other social media.Read more

04/04/2014

SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading Firm and Co-Owners Charged With Registration Violations

The Securities and Exchange Commission today charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly traded stocks through an illegal practice known as “layering” or “spoofing.” Read more

04/04/2014

SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award

The Securities and Exchange Commission today announced that the whistleblower who received the first award under the agency’s new whistleblower program will receive an additional $150,000 payout after the SEC collected additional funds in the case.Read more

04/03/2014

SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients

The Securities and Exchange Commission today announced charges against a St. Petersburg, Fla.-based financial services firm for improperly calculating advisory fees and overcharging clients.Read more

04/03/2014

SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition

The Securities and Exchange Commission today charged two friends with insider trading on confidential information from an investment banker about an impending transaction between engineering and construction companies.Read more