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News and Alerts

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

09/23/2014

SEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud - Transfer Agent Also Charged for Missing Red Flags in Unlawful Distribution of Shares Used in Scheme

The Securities and Exchange Commission today charged a Florida-based penny stock company and its CEO with defrauding investors by issuing false and misleading press releases proclaiming large sales and fantastic revenue projections while the purported health food company actually was a failing enterprise. Read more

09/23/2014

SEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent

The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a transfer agent that was the subject of an SEC enforcement action two months ago.Read more

09/22/2014

SEC Announces Largest-Ever Whistleblower Award

The Securities and Exchange Commission today announced an expected award of more than $30 million to a whistleblower who provided key original information that led to a successful SEC enforcement action. Read more

09/16/2014

SEC Sanctions 19 Firms and Individual Trader for Short Selling Violations in Advance of Stock Offerings

The Securities and Exchange Commission today announced the latest sanctions in a continuing enforcement initiative uncovering certain hedge fund advisers and private equity firms that have illegally participated in an offering of a stock after short selling it during a restricted period.Read more