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News and Alerts

06/03/2014

SEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation

The Securities and Exchange Commission today announced a whistleblower award of more than $875,000 to be split evenly between two individuals who provided tips and assistance to help the agency bring an enforcement action.Read more

06/02/2014

Investor Alert: Investment Newsletters Used as Tools for Fraud

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters.Read more

06/02/2014

SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors

The Securities and Exchange Commission today charged a charter school operator in Chicago with defrauding investors in a $37.5 million bond offering for school construction by making materially misleading statements about transactions that presented a conflict of interest.Read more

05/29/2014

SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Chicago-based investment fund manager accused of stealing money he raised from investors to pay personal and business expenses.Read more

05/28/2014

SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC examination of the firm.Read more