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Selected Press Releases

SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale

11/21/2014

The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with confidential details about his New Jersey-based company’s nonpublic merger discussions that enabled the friend to make $164,260 in trading profits after it was sold to a private equity firm.Read more

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