Skip to content

Font size: A- | A | A+ Logo for Print
Press Alt + shift + h then Enter to skip to secondary navigation. Mac users press Control + shift + h

Selected Press Releases

SEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences


The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider accused of listing fake occupants at some senior residences in order to meet the requirements of a lease to operate the facilities.Read more

SEC Charges California Resident With Fraudulent Sales of Stock


The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock that he claimed to own when he had actually purchased them for others a few years before.Read more

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


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


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


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