Skip to content

Font size: A- | A | A+ Logo for Print

News and Alerts


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


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


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


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


SEC and SBA to Partner on Events on Small Business Capital Raising Under the Jumpstart Our Business Startups (JOBS) Act

The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, announced today they will jointly host events to inform small business owners and entrepreneurs about new options that are and will become available for capital raising under the Jumpstart Our Business Startups (JOBS) Act.Read more