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News and Alerts

12/15/2014

Investor Bulletin: Brokers' Miscellaneous Fees

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to make investors aware of the miscellaneous fees charged by some brokers.Read more

12/15/2014

SEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation - Houston-Based Attorney Charged With Facilitating Scheme in Gatekeeper Role

The Securities and Exchange Commission today charged a New Orleans-based oil-and-gas company and five executives with running a stock trading scheme in which they claimed to have struck oil in Belize in order to manipulate the price of the company’s stock as they illegally sold restricted shares to the public.Read more

12/12/2014

SEC Files Securities Fraud Charges Against Owner of Home Restoration Business in Upstate New York

The Securities and Exchange Commission today announced securities fraud charges against the owner of a home restoration business in upstate New York who sold unsecured notes to investors to finance his real estate operations.Read more

12/12/2014

SEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme

The Securities and Exchange Commission today charged a Manhattan-based attorney with conducting a Ponzi scheme that defrauded some of his legal clients as well as close family members and friends.Read more

12/10/2014

SEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund. Hedge Fund’s Portfolio Manager Agrees to Settle Charges

The Securities and Exchange Commission today announced fraud charges against a Buffalo, N.Y.-based investment advisory firm and two co-owners accused of making false and misleading statements to clients when recommending investments in a risky hedge fund. The hedge fund’s portfolio manager agreed to settle similar charges.Read more