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News and Alerts

02/08/2013

SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration Program

Washington, D.C., Feb. 8, 2013 — The Securities and Exchange Commission today announced charges and an asset freeze against an individual living in Illinois and two companies behind an investment scheme defrauding foreign investors seeking profitable returns and a legal path to U.S. residency through a federal visa program.Read more

01/29/2013

SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity

Washington, D.C., Feb. 4, 2013 — The Securities and Exchange Commission today charged a husband and wife who raised millions of dollars selling investments for a purported charitable organization in Tallahassee, Fla., while defrauding senior citizens and significantly exaggerating the amount of contributions actually made to charity.Read more

01/28/2013

SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies

Washington, D.C., Jan. 28, 2013 — The Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies being held this Friday, February 1.Read more

01/28/2013

SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities

Washington, D.C., Jan. 28, 2013 — The Securities and Exchange Commission today charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities (MBS) in the wake of the financial crisis so he could generate additional revenue for his firm.Read more

01/25/2013

SEC Charges Florida-Based Financial Adviser with Illegally Tipping Inside Information

Washington, D.C., Jan. 25, 2013 — The Securities and Exchange Commission today charged a financial adviser in Boca Raton, Fla., with illegally tipping inside information he learned about the upcoming sale of a pharmaceutical company in exchange for $35,000 and a jet ski dock.Read more