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News and Alerts

10/10/2013

Previously Unknown Insider Traders in Heinz Agree to $5 Million Settlement

The Securities and Exchange Commission today announced that two brothers in Brazil have agreed to pay nearly $5 million to settle charges that they were behind suspicious trading in call options for H.J. Heinz Company the day before the company publicly announced its acquisition.Read more

10/03/2013

Investor Alert: SEC Warns of Fake Correspondence

The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudulent solicitations using correspondence claiming to be from SEC staff and Commissioners (including phony letters using the SEC seal and purporting to be signed by Commissioner Daniel Gallagher).Read more

10/02/2013

SEC Sanctions Nebraska-Based Investment Adviser for Best Execution Failures in Selecting Mutual Fund Share Classes

The Securities and Exchange Commission today sanctioned an Omaha, Neb.-based investment advisory firm and its owner for failing to seek the most beneficial terms reasonably available when investing in mutual fund shares for three funds that they managed. Read more

10/01/2013

Investor Alert: Investment Scams Exploit Immigrant Investor Program

The U.S. Securities and Exchange Commission's Office of Investor Education and Advocacy and U.S. Citizenship and Immigration Services are jointly issuing this Investor Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, also known as "EB-5."Read more

10/01/2013

SEC Awards More Than $14 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds. Payments to whistleblowers are made from a separate fund previously established by the Dodd-Frank Act and do not come from the agency’s annual appropriations or reduce amounts paid to harmed investors. Read more