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News and Alerts

09/26/2014

SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors

The Securities and Exchange Commission today announced charges against four insurance agents for unlawfully selling securities in what turned out to be a multi-million dollar offering fraud targeting elderly investors.Read more

09/25/2014

SEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud

The Securities and Exchange Commission today announced suspensions in trading for nine different penny stocks as part of an ongoing enforcement initiative to combat microcap fraud.Read more

09/25/2014

SEC Charges Arizona-Based Software Company for Inadequate Internal Accounting Controls Over Its Financial Reporting

The Securities and Exchange Commission today sanctioned a Scottsdale, Ariz.-based software company for having inadequate internal accounting controls over its financial reporting, which resulted in misstated revenues in public filings.Read more

09/25/2014

SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme - CEO Agrees to Return $2.5 Million Under Clawback Provision

The Securities and Exchange Commission today charged a Silicon Valley-based software company and two former executives behind an accounting fraud in which timesheets were falsified to hit quarterly financial targets.Read more

09/24/2014

Investor Bulletin: Private Placements Under Regulation D

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, or private placements, under Regulation D of the Securities Act.Read more