Skip to content

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

News and Alerts


SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases - New Investigative Approaches and Innovative Use of Data and Analytical Tools Help Drive Successful Enforcement Year

The Securities and Exchange Commission today announced that in fiscal year 2014, new investigative approaches and the innovative use of data and analytical tools contributed to a very strong year for enforcement marked by cases that spanned the securities industry. Read more


SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company

The Securities and Exchange Commission today announced insider trading charges against a Massachusetts man who allegedly tipped his friend with nonpublic information about potential acquisition targets of the pharmaceutical company where he worked.Read more


SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings

The Securities and Exchange Commission today announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers.Read more


Investor Bulletin: Savings and Investing Basics for Military Personnel

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help military personnel make more informed savings and investing decisions and avoid common scams. Below is a list of ten suggestions that may help military personnel – and any investor – make better investments and avoid fraud.Read more


SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network

The Securities and Exchange Commission today announced charges against two Florida men for defrauding investors in a purported startup television network and production company by providing false information about its revenues and future prospects, including that former basketball star Michael Jordan planned to invest in the company.Read more