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News and Alerts

06/01/2016

SEC: Private Equity Fund Adviser Acted As Unregistered Broker

The Securities and Exchange Commission today announced that a Maryland-based private equity fund advisory firm and its owner have agreed to pay more than $3.1 million to settle charges that they engaged in brokerage activity and charged fees without registering as a broker-dealer and committed other securities law violations. Read more

05/18/2016

Investor Bulletin: Master Limited Partnerships – An Introduction

The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs. Because investing in an MLP may be unfamiliar, investors should carefully consider potential benefits – and risks – before making an investment decision.Read more

05/13/2016

SEC Charges Two Attorneys With Defrauding Escrow Clients

The Securities and Exchange Commission today announced fraud charges against two attorneys accused of making undisclosed risky investments and in some instances outright stealing money they obtained in escrow accounts from small business owners seeking commercial loans. Read more

05/13/2016

Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation

The Securities and Exchange Commission today announced a whistleblower award of more than $3.5 million to a company employee whose tip bolstered an ongoing investigation with additional evidence of wrongdoing that strengthened the SEC’s case. Read more

05/12/2016

SEC Charges Shell Factory Operators With Fraud

The Securities and Exchange Commission today announced fraud charges against a California stock promoter and a New Jersey lawyer who allegedly were creating sham companies and selling them until the SEC stopped them in their tracks. Read more