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News and Alerts

03/09/2016

Investor Alert: Zika Crisis May Give Rise to Investment Scams

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment scams involving companies that claim their products or services relate to the Zika virus.Read more

03/09/2016

Money Returning to Investors Harmed by Unregistered Broker

The Securities and Exchange Commission today announced that a Cyprus-based company has agreed to pay $11 million to settle charges that it illegally sold binary options to U.S. investors. A judge signed a court order late yesterday authorizing the distribution of this money to harmed investors through a Fair Fund.Read more

03/09/2016

Insider Traders Returning Illegal Profits and Kickbacks

The Securities and Exchange Commission today announced that a Florida man trading on inside information ahead of a pharmaceutical company merger and a friend who tipped him have agreed to settle enforcement actions against them.Read more

03/09/2016

SEC: Tech Company Misled Investors About Key Product

The Securities and Exchange Commission today announced that a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors about the production status and sales agreements for a key product.Read more

03/08/2016

SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past

The Securities and Exchange Commission today announced fraud charges against an unregistered fund manager accused of hiding his checkered past while providing false and misleading data to investors and an independent research firm.Read more