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Selected Press Releases

SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors

06/02/2014

The Securities and Exchange Commission today charged a charter school operator in Chicago with defrauding investors in a $37.5 million bond offering for school construction by making materially misleading statements about transactions that presented a conflict of interest.Read more

SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

05/29/2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Chicago-based investment fund manager accused of stealing money he raised from investors to pay personal and business expenses.Read more

SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

05/28/2014

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC examination of the firm.Read more

SEC Charges Former CFO of Dallas-Based Jewelry and Collectibles Company With Accounting Fraud

05/27/2014

The Securities and Exchange Commission today filed accounting fraud charges against a Dallas-based company and its former chief financial officer for manipulating its inventory accounts.Read more

SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes

05/22/2014

The Securities and Exchange Commission today announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with roots in South Florida.Read more