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SEC Charges Former CFO of Dallas-Based Jewelry and Collectibles Company With Accounting Fraud

The Securities and Exchange Commission today filed accounting fraud charges against a Dallas-based company and its former chief financial officer for manipulating its inventory accounts.Read more


SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes

The Securities and Exchange Commission today announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with roots in South Florida.Read more


Investor Bulletin: What is IAPD (Investment Adviser Public Disclosure)?

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a short overview of the SEC’s IAPD database. For additional information about IAPD, please visit the IAPD website on For information about checking out the background of financial professionals more generally, please see our Investor Bulletin, Top Tips for Selecting a Financial Professional.Read more


SEC Charges Sarasota-Based Private Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

The Securities and Exchange Commission today charged a Sarasota, Fla.-based private fund manager with defrauding investors in a Ponzi scheme that ensued after he squandered their money on bad investments and personal expenses.Read more


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