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Selected Press Releases

SEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola - Agency Issues Investor Alert Warning of Fraud Risks in Thinly-Traded Stocks of Companies Linking Future Business Prospects to Ebola Outbreak

11/20/2014

The Securities and Exchange Commission today suspended trading in four companies that claim to be developing products or services in response to the Ebola outbreak, citing a lack of publicly available information about the companies’ operations.Read more

SEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme

11/18/2014

The Securities and Exchange Commission today charged an unregistered broker living outside Tampa, Fla., with stealing investor funds as part of a fraudulent day trading scheme.Read more

SEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-and-Dump Scheme

11/17/2014

The Securities and Exchange Commission today charged a San Francisco-based penny stock company CEO with defrauding investors by issuing false and misleading press releases portraying his purported marketing and infomercial company as a successful venture in order to drive the stock price up while he covertly sold millions of shares into the public market for more than $300,000 in illicit profits.Read more

SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes

11/17/2014

The Securities and Exchange Commission today charged three penny stock promoters with conducting pump-and-dump schemes involving stocks they were touting in their supposedly independent newsletters.Read more

SEC Charges Business Owner and Stockbroker in Maryland-Based Offering Fraud

11/14/2014

The Securities and Exchange Commission today charged the owner of a Maryland-based real estate company with conducting an offering fraud and spending investor money on such personal expenses as his mortgage, country club dues, and season tickets to the Baltimore Ravens. The agency also charged a former stockbroker for participating in the scheme.Read more