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News and Alerts

05/26/2015

SEC Charges New York Lawyer and Two Promoters With Market Manipulation

The Securities and Exchange Commission today announced fraud charges against a securities lawyer who used his New York law office as the headquarters for planning and implementing market manipulation schemes. Also charged are two stock promoters from Canada who assisted him. Read more

05/21/2015

SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds

The Securities and Exchange Commission today announced fraud charges against an Atlanta-based investment advisory firm and two executives accused of selling unsuitable investments to pension funds for the city’s police and firefighters, transit workers, and other employees. Read more

05/20/2015

SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards

The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest created by the outside business activity of a top-performing portfolio manager. Read more

05/20/2015

SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

he Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm.Read more

05/14/2015

SEC Charges Nationwide Life Insurance Company With Pricing Violations

The Securities and Exchange Commission today charged Nationwide Life Insurance Company with routinely violating pricing rules in its daily processing of purchase and redemption orders for variable insurance contracts and underlying mutual funds. Read more