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News and Alerts

05/02/2016

Investor Bulletin: Stop and Stop Limit Orders

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the difference between using “stop” and “stop limit” orders to buy and sell stocks.Read more

04/19/2016

SEC Announces Financial Fraud Cases

The Securities and Exchange Commission today announced a pair of financial fraud cases against companies and then-executives accused of various accounting failures that left investors without accurate depictions of company finances. Read more

04/15/2016

Investor Bulletin: Performance Claims

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investment performance claims. If you are in the market for an investment, you will likely come across sales and marketing materials that describe an investment’s performance. You should know that performance information can be presented in many different ways. Before making a decision, always make sure you understand how any performance claim is calculated and presented – and whether or not the claim is reliable and applies to your particular circumstances. Here are a few things to consider.Read more

04/15/2016

SEC Charges Litigation Marketing Company With Bilking Retirees

The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty investment returns from settlement proceeds. Read more

04/14/2016

SEC: Town Officials in New York Hid Financial Troubles From Bond Investors

The Securities and Exchange Commission today announced fraud charges against Ramapo, N.Y., its local development corporation, and four town officials who allegedly hid a deteriorating financial situation from their municipal bond investors. Read more