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News and Alerts

03/06/2012

SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors

The Securities and Exchange Commission today announced it has charged a New York-based investment adviser with defrauding investors in five offshore funds and using some of their money to buy himself a multi-million dollar beach resort property on Long Island.Read more

03/02/2012

Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case

The Securities and Exchange Commission today announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis.Read more

02/28/2012

SEC Proposes Rules To Help Prevent And Detect Identity Theft

The Securities and Exchange Commission today announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.Read more

02/27/2012

SEC Releases Risk Alert on Unauthorized Trading

The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.Read more

02/22/2012

Updated Investor Alert: SEC Warns of Government Impersonators

SEC staff is issuing this updated Investor Alert because they have seen a recent surge of complaints about a scheme where fraudsters posing as SEC employees call potential victims on the telephone and purport to offer them a large sum of money (in some cases, the amount of $450,000 is used) in return for depositing a smaller amount (for example, $1,500) into a specified account. Some of these solicitations may use the name of a legitimate company and refer prospective investors to an operating website. These solicitations, whether made by telephone, email, or other method, are fraudulent.Read more