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Selected Press Releases

SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter

03/05/2014

The Securities and Exchange Commission today announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies masquerading as a legitimate international investment firm.Read more

SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme

02/25/2014

The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm for orchestrating a scheme to misallocate their expenses to the funds they manage.Read more

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients

02/21/2014

The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC.Read more

SEC Charges Three California Residents Behind Movie Investment Scam

02/20/2014

The Securities and Exchange Commission today charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors and generate exorbitant investment returns.Read more

SEC Names Rick Fleming as Investor Advocate

02/12/2014

The Securities and Exchange Commission today announced that Rick A. Fleming has been named as the first head of the agency’s Office of the Investor Advocate. Read more