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News and Alerts

03/30/2016

SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use

The Securities and Exchange Commission today announced that a San Francisco-based biotech venture capitalist has agreed to settle charges that he siphoned money from a fund managed by his firm in order to prop up other struggling businesses he owned and finance his lavish lifestyle.Read more

03/29/2016

Updated Investor Alert: Fraudulent Stock Promotions

The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at the inflated price, making money at investors’ expense.Read more

03/29/2016

Former TV Commentator Settles Penny Stock Fraud Charges

The Securities and Exchange Commission today announced that a former market analyst and TV news commentator has agreed to settle charges that he and his company fraudulently promoted a penny stock to investors. Read more

03/29/2016

SEC: Biotech Company Misled Investors About New Drug's Status With FDA

The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based biotech company and three former executives for misleading investors about the company’s efforts to obtain Food and Drug Administration (FDA) approval for its flagship developmental drug to treat kidney cancer.Read more

03/28/2016

Securities Professional Charged With Defrauding Institutional Investors Shell Company Name Was Deceptively Similar to a Legitimate Fund

The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose name was deceptively similar to that of a legitimate private equity fund. Read more