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News and Alerts

07/31/2014

SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers

The Securities and Exchange Commission today charged a broker based in Roanoke, Va., with defrauding elderly customers, including some who are legally blind, by stealing their funds for her personal use and falsifying their account statements to cover up her fraud.Read more

07/25/2014

SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition

The Securities and Exchange Commission today announced it has charged two additional brokers with trading on inside information ahead of the $1.2 billion acquisition of SPSS Inc. in 2009 by IBM Corporation. Read more

07/24/2014

Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings

The Securities and Exchange Commission today charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued.Read more

07/24/2014

SEC Announces Additional Charges in Football-Related Boiler Room Scheme - U.S. Attorney’s Offices in Miami and Los Angeles Announce Parallel Actions

The Securities and Exchange Commission today announced a second round of charges against individuals behind a boiler room scheme that hyped a company whose new technology was purportedly Super Bowl-bound.Read more

07/24/2014

SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors

The Securities and Exchange Commission today announced it has charged a Florida-based transfer agent and its owner with defrauding investors by using aggressive boiler room tactics to peddle worthless securities with promises of high returns or discounted prices. Read more