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News and Alerts

05/28/2014

SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC examination of the firm.Read more

05/27/2014

SEC Charges Former CFO of Dallas-Based Jewelry and Collectibles Company With Accounting Fraud

The Securities and Exchange Commission today filed accounting fraud charges against a Dallas-based company and its former chief financial officer for manipulating its inventory accounts.Read more

05/22/2014

SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes

The Securities and Exchange Commission today announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with roots in South Florida.Read more

05/21/2014

Investor Bulletin: What is IAPD (Investment Adviser Public Disclosure)?

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a short overview of the SEC’s IAPD database. For additional information about IAPD, please visit the IAPD website on SEC.gov. For information about checking out the background of financial professionals more generally, please see our Investor Bulletin, Top Tips for Selecting a Financial Professional.Read more

05/21/2014

SEC Charges Sarasota-Based Private Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

The Securities and Exchange Commission today charged a Sarasota, Fla.-based private fund manager with defrauding investors in a Ponzi scheme that ensued after he squandered their money on bad investments and personal expenses.Read more