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News and Alerts


SEC Charges Two Clinical Drug Trial Doctors With Insider Trading

The Securities and Exchange Commission today charged two California-based doctors with illegally trading on inside knowledge that the Food and Drug Administration (FDA) had halted the clinical trials of a new prostate cancer drug developed by biopharmaceutical company GTx Inc. Read more


Investor Alert: Marijuana-Related Investments

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies. Read more


SEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions

The Securities and Exchange Commission today cautioned investors about the potential for fraud in microcap companies that claim their operations relate to the marijuana industry after the agency suspended trading in the fifth such company within the past two months.Read more


SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm

The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.Read more


SEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments

The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dealer. Read more