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News and Alerts

11/19/2015

Assets Frozen in Alleged Immigration Scam

The Securities and Exchange Commission today announced it has obtained a court order freezing the assets of a South Florida woman and her company accused of purchasing a boat and luxury cars with money she raised from investors seeking U.S. residency through the EB-5 Immigrant Investor Pilot Program. Read more

11/17/2015

SEC Charges Pump-and-Dump in Marley Coffee Stock

The Securities and Exchange Commission today announced fraud charges against several alleged perpetrators behind a $78 million pump-and-dump scheme involving the stock of Jammin’ Java, a company that operates as Marley Coffee and uses trademarks of late reggae artist Bob Marley to sell coffee products.Read more

11/16/2015

Mutual Fund Adviser Advertised False Performance Claims

The Securities and Exchange Commission today announced that a Hartford, Conn.-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.Read more

11/05/2015

Updated Investor Alert: Social Media and Investing -- Stock Rumors

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks.Read more

10/29/2015

Investor Bulletin: An Introduction to Short Sales

The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy is issuing this Investor Bulletin for investors to provide them with the basics, including some of the potential risks, of short sales.Read more