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News and Alerts

10/14/2015

SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings

The Securities and Exchange Commission today announced enforcement actions against six firms, including more than $2.5 million in monetary sanctions and, in the case of one previously sanctioned firm, an order barring the firm from participating in stock offerings for a period of one year as part of its ongoing enforcement initiative focused on violations of Rule 105 of Regulation M. Read more

10/09/2015

Investor Alert: Be on the Lookout for Investment Scams Related to the Recent Historic Rain and Flooding

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others following the recent historic rainfall and flooding in and around South Carolina, about investment fraud.Read more

10/01/2015

SEC Charges New Jersey Fund Manager With Securities Fraud

The Securities and Exchange Commission today charged a New Jersey fund manager and his firm with defrauding investors by lying about his credentials, concealing trading losses, and using investor funds to make Ponzi-like payments to other investors. Read more

10/01/2015

SEC Halts $32 Million Scheme That Promised Riches From Amber Mining

The Securities and Exchange Commission today announced it has filed fraud charges and obtained asset freezes against the operator of a worldwide pyramid scheme that falsely promised investors would profit from a venture purportedly backed by the company’s massive amber holdings. Read more

09/30/2015

China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures

The Securities and Exchange Commission today announced a $55.6 million settlement with Focus Media Holding Limited and CEO Jason Jiang to resolve charges of inaccurate disclosures about the China-based advertising company’s partial sale of a subsidiary to insiders, including Jiang. The sale, which occurred before a third party purchased the subsidiary at a significantly higher price, yielded enormous profits to Jiang and other insiders. Read more