Skip to content

Font size: A- | A | A+

Investor.gov 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 Charges in Houston-Based Scheme Touting Technology to End Fracking

08/15/2014

The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology to enable environmentally friendly oil-and-gas production.Read more

SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client. Three Others Also Charged After SEC Search of Stock Exchange Records Uncovers Additional Trades by Other Clients of Accountant

08/14/2014

The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the stock of a restaurant company based on confidential information he learned from a client on the board of directors who came to him for tax advice in advance of a tender offer announcement.Read more

SEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme

08/14/2014

The Securities and Exchange Commission today charged New York-based brokerage firm Linkbrokers Derivatives LLC for unlawfully taking secret profits of more than $18 million from customers by adding hidden markups and markdowns to their trades.Read more

SEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners

08/08/2014

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating net capital requirements and falsifying books and records to conceal the capital deficiencies.Read more

SEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager

08/08/2014

The Securities and Exchange Commission today charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund manager at the center of the scheme.Read more