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 First Deferred Prosecution Agreement With Individual

11/12/2013

The Securities and Exchange Commission today announced a deferred prosecution agreement with a former hedge fund administrator who helped the agency take action against a hedge fund manager who stole investor assets.Read more

SEC Charges New York-Based Audit Firm and Four Accountants for Failures in Audits of China-Based Companies

11/07/2013

The Securities and Exchange Commission today announced sanctions against a New York-based audit firm, its founder, two other partners, and an audit manager for their roles in the failed audits of three China-based companies publicly traded in the U.S.Read more

SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering

11/07/2013

The Securities and Exchange Commission today charged RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, with misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering. RBS agreed to settle the matter and pay more than $150 million, which the SEC will use to compensate investors for harm suffered as a result of RBS’s conduct. Read more

SEC Halts Ponzi Scheme Involving New Zealand Companies

11/04/2013

The Securities and Exchange Commission today announced an emergency asset freeze to halt a Ponzi scheme involving U.S. and New Zealand-based companies peddling sham investment opportunities ranging from a bank trading program to kidney dialysis clinics.Read more

SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme

11/01/2013

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a group of Pasadena, Calif.-based companies at the center of an ongoing real estate investment scheme.Read more