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News and Alerts

05/08/2012

SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading

The Securities and Exchange Commission today announced charges against a Hollywood movie producer along with his brother, cousin, and three others in his circle of friends and business partners for insider trading in the stock of a company for which he served on the board of directors.Read more

05/02/2012

SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts

The Securities and Exchange Commission today charged a Florida man and 10 cohorts involved in two separate schemes to illegally sell stock, including one that sought to capitalize on circumstances in Haiti following the earthquake that destroyed much of the country's infrastructure in January 2010.Read more

05/01/2012

Social Media and Investing - Tips for Seniors

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide seniors who use social media with a few tips to help them do so more safely and to help them avoid investment fraud.Read more

05/01/2012

SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers

The Securities and Exchange Commission today charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds.Read more

04/30/2012

SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme

The Securities and Exchange Commission today charged a mother and daughter along with their attorney in a scheme to unlawfully acquire and sell billions of shares of penny stock in unregistered transactions.Read more