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Selected Press Releases

Guggenheim Partners Investment Management LLC Settles Charges it Failed to Disclose Conflict to Clients

08/10/2015

The Securities and Exchange Commission today announced that Guggenheim Partners Investment Management LLC has agreed to settle charges it breached its fiduciary duty by failing to disclose a $50 million loan that one of its senior executives received from an advisory client. Read more

SEC Adopts Rule for Pay Ratio Disclosure - Rule Implements Dodd-Frank Mandate While Providing Companies with Flexibility to Calculate Pay Ratio

08/05/2015

The Securities and Exchange Commission today adopted a final rule that requires a public company to disclose the ratio of the compensation of its chief executive officer (CEO) to the median compensation of its employees. The new rule, mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, provides companies with flexibility in calculating this pay ratio, and helps inform shareholders when voting on “say on pay.” Read more

SEC Charges Houston-Area Businessman in Ponzi Scheme

08/03/2015

The Securities and Exchange Commission today charged a Houston-area businessman with operating a $114 million Ponzi scheme that defrauded investors, some of whom were told that their money would fund technology to prevent accidents caused by drowsy driving.Read more

SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp.

07/31/2015

The Securities and Exchange Commission today charged a Canadian citizen with conducting a scheme to conceal his control and ownership of a microcap company whose price quickly spiked last year. The SEC suspended trading in the stock, Cynk Technology Corp., before the alleged schemer, Phillip Thomas Kueber, could profit on the gains from the stock’s rise to more than $21 from less than 10 cents per share.Read more

SEC Charges Operators of Fraud Based in Upstate New York

07/30/2015

The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New York residents, who purchased the companies’ securities and so-called “charitable gift annuities.” Read more