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09/13/2013

SEC Charges Purported Money Manager in New York Who Schemed Investors and Lied to SEC Examiners

Washington D.C. — The Securities and Exchange Commission today charged the owner of a New York-based investment advisory firm with defrauding investors while grossly exaggerating the amount of assets under his management. Read more

09/13/2013

SEC Charges Operator of Miami-Dade County’s Largest Hospital With Misleading Investors About Financial Condition

Washington D.C. — The Securities and Exchange Commission today charged the operator of the largest hospital in Miami-Dade County with misleading investors about the extent of its deteriorating financial condition prior to an $83 million bond offering.Read more

09/11/2013

Investor Bulletin: Making Sense of Financial Professional Titles

The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the North American Securities Administrators Association (NASAA) are jointly issuing this Investor Bulletin to help investors better understand the titles used by financial professionals. The requirements for obtaining and using these titles vary widely, from rigorous to nothing at all. To use certain titles, a financial professional may need to pass exams, meet ethical standards, have relevant work experience, and undertake continuing education. Other titles, however, may be obtained with little time, effort, and experience.Read more

09/09/2013

SEC Halts Florida-Based Prime Bank Investment Scheme

Washington D.C. — The Securities and Exchange Commission today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme that promised exorbitant returns from a purported international trading program.Read more

09/06/2013

SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules

Washington D.C. — The Securities and Exchange Commission today charged the former head of investor relations for a Tempe, Ariz.-based solar energy company with violating rules requiring fair disclosure of information when he alerted certain analysts and investors about an upcoming major development.Read more