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News and Alerts

03/25/2016

Investor Bulletin: Investor Complaints

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute.Read more

03/25/2016

SEC Halts Fraud by Manager of Investments in Pre-IPO Companies

The Securities and Exchange Commission today announced fraud charges and asset freezes obtained in a case filed against a New Jersey-based fund manager and two firms he controls that marketed shares in promising pre-IPO tech companies in the Bay Area. The SEC alleges they stole $5.7 million from investors and diverted millions more to other improper and undisclosed uses.Read more

03/15/2016

SEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses

The Securities and Exchange Commission today charged a former Boston resident with operating a $10 million Ponzi scheme that claimed to generate profits from “bridge loans” to businesses in Jamaica.Read more

03/14/2016

SEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments

The Securities and Exchange Commission today charged a microcap company CEO for falsely claiming to have a lucrative relationship with the United Nations and billions of dollars in clean energy contracts with foreign governments. Read more

03/11/2016

SEC: California Businessman Attempted Cover Up of Stolen Investor Funds

The Securities and Exchange Commission today announced fraud charges against a California businessman accused of stealing investor assets and then trying to cover it up once the SEC caught onto his scheme.Read more