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News and Alerts

03/10/2016

SEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors

The Securities and Exchange Commission today charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating financial condition of its enterprise while raising more than $350 million from investors. Aequitas Management LLC and four affiliates allegedly defrauded more than 1,500 investors nationwide into believing they were making health care, education, and transportation-related investments when their money was really being used in a last-ditch effort to save the firm. Some money from new investors was allegedly used to pay earlier investorsRead more

03/09/2016

Investor Alert: Beware of Government Impersonators Targeting Fraud Victims

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert because we are aware of communications, including official looking documents, that falsely claim to be issued by the Securities and Exchange Commission and seek money from investors who have already been victims of fraud.Read more

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