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Selected Press Releases

SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution


The Securities and Exchange Commission today announced enforcement actions against 10 companies for failing to make the required disclosures about financing deals and other unregistered sales that diluted their stock.Read more

SEC Charges Two Canadian Citizens With Penny Stock Fraud Involving Tennessee Coal Mining Company


The Securities and Exchange Commission today charged a pair of Canadian citizens with conducting an international microcap fraud scheme by stockpiling shares in a coal mining company and funding a multi-million dollar promotional campaign to hype the stock while simultaneously dumping their shares and routing the proceeds through offshore accounts.Read more

SEC Announces Fraud Charges Against New York Businessman - Placement Agent Also Charged and Barred From Securities Industry


The Securities and Exchange Commission today announced securities fraud charges accusing a New York businessman and his software company of making false statements to investors while raising more than $3 million to fund operations.Read more

SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies


The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) today issued an alert warning investors that some penny stocks being aggressively promoted as great investment opportunities may in fact be stocks of dormant shell companies with little to no business operations.Read more

SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations


The Securities and Exchange Commission today announced charges against an investment advisory firm and three top officials for violating the “custody rule” that requires firms to follow certain procedures when they control or have access to client money or securities.Read more