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News and Alerts


Investor Alert: SEC Warns of Bogus Securities Regulators Soliciting Investors

Securities and Exchange Commission staff is issuing this Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the federal government and legitimate securities regulators. If you are contacted by an organization calling itself the "Chicago Division of Securities," the "Division of Securities, Chicago Illinois," the "Federal Division of Securities, New York" or the "New York Securities Division," be aware that they are not affiliated with the Securities and Exchange Commission and are not legitimate securities regulators. They are scams.Read more


Florida-Based Stock Promoter Charged with Lying to SEC Investigators

Washington, D.C., May 30, 2013 — The Securities and Exchange Commission today announced that the subject of an enforcement inquiry in Florida has has been criminally charged for obstructing justice and lying to SEC investigators looking into his real estate securities offerings to investors.Read more


SEC Charges Total S.A. for Illegal Payments to Iranian Official

Washington, D.C., May 29, 2013 — The Securities and Exchange Commission today charged France-based oil and gas company Total S.A. with violating the Foreign Corrupt Practices Act (FCPA) by paying $60 million in bribes to intermediaries of an Iranian government official who then exercised his influence to help the company obtain valuable contracts to develop significant oil and gas fields in Iran.Read more


SEC Charges NASDAQ for Failures During Facebook IPO

Washington, D.C., May 29, 2013 — The Securities and Exchange Commission today charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering (IPO) and secondary market trading of Facebook shares. NASDAQ has agreed to settle the SEC’s charges by paying a $10 million penalty – the largest ever against an exchange.Read more


SEC Charges Dallas-Based Trader With Front Running

Washington, D.C., May 24, 2013 — The Securities and Exchange Commission today announced fraud charges and an asset freeze against a trader at a Dallas-based investment advisory firm who improperly profited by placing his own trades before executing large block trades for firm clients that had strong potential to increase the stock's price.Read more