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SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme

The Securities and Exchange Commission today charged two former brokers in Miami with fraud for overcharging customers approximately $36 million by using hidden markup fees on structured notes transactions.Read more


10 Ways to Use

The SEC’s Office of Investor Education and Advocacy designed with the individual investor in mind. Whether you are investing on your own, working with a financial professional, planning your retirement, or just interested in learning more about investing generally, can help you invest wisely and avoid fraud. Here are 10 specific ways you can use to become a more educated investor.Read more


SEC Freezes Assets of Insider Traders in Nexen Acquisition

The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of traders using trading accounts in Hong Kong and Singapore to reap more than $13 million in illegal profits by trading in advance of this week’s public announcement that China-based CNOOC Ltd. agreed to acquire Canada-based Nexen Inc.Read more


SEC Charges Phony Company President for Role in Facilitating Fake Investment in Penny Stock Company

The Securities and Exchange Commission today charged a New York man for his role in a scheme to disseminate news of a fake investment to boost a struggling penny stock company.Read more


SEC Charges New York-Based Firm and Owner in Penny Stock Scheme

The Securities and Exchange Commission today charged a New York-based firm and its owner with conducting a penny stock scheme in which they bought billions of stock shares from small companies and illegally resold those shares in the public market.Read more