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News and Alerts

11/04/2013

SEC Halts Ponzi Scheme Involving New Zealand Companies

The Securities and Exchange Commission today announced an emergency asset freeze to halt a Ponzi scheme involving U.S. and New Zealand-based companies peddling sham investment opportunities ranging from a bank trading program to kidney dialysis clinics.Read more

11/01/2013

SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a group of Pasadena, Calif.-based companies at the center of an ongoing real estate investment scheme.Read more

10/30/2013

SEC Rewards Whistleblower With $150,000 Payout

The Securities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. Read more

10/28/2013

Investor Bulletin: The ABCs of Credit Ratings

The SEC’s Office of Investor Education and Advocacy and Office of Credit Ratings are issuing this Investor Bulletin to educate investors about credit ratings.Read more

10/28/2013

SEC Charges Three Firms With Violating Custody Rule

The Securities and Exchange Commission today sanctioned three SEC-registered investment advisory firms for violating the “custody rule” that requires them to meet certain standards when maintaining custody of their clients’ funds or securities.Read more