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Selected Press Releases

SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program

06/23/2015

The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners seeking U.S. residency. The charges are the first against brokers handling investments in the government’s EB-5 Immigrant Investor Program and follow earlier SEC actions against fraudulent EB-5 offerings.Read more

SEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors

06/18/2015

The Securities and Exchange Commission today charged a Texas-based oil company and its CEO with defrauding investors about reserve estimates and drilling plans, and charged the author of a stock-picking newsletter for his role in a fraudulent promotional campaign encouraging readers to buy the oil company’s penny stock shares.Read more

SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme

06/16/2015

The Securities and Exchange Commission today announced charges against an Ohio-based self-directed IRA provider accused of ignoring red flags for accounts with investments that turned out to be fraudulent.Read more

Investment Advisory Firm’s Former President Charged With Stealing Client Funds

06/15/2015

The Securities and Exchange Commission today announced fraud charges against a Washington D.C.-based investment advisory firm’s former president accused of stealing client funds. The firm and its chief compliance officer separately agreed to settle charges that they were responsible for compliance failures and other violations.Read more

SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses

06/10/2015

The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge fund manager and defrauding small companies out of more than $4 million. Read more