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News and Alerts


SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging in self-dealing and failing to disclose material facts to clients regarding conflicts of interest, use of investor funds, and the risks of the investments they recommended. Read more


SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant

The Securities and Exchange Commission today charged five Florida residents – including two lawyers and an accountant – with insider trading in advance of the acquisition of Pharmasset Inc. by Gilead Sciences Inc. Read more


SEC Charges Individual and Firm for Manipulative Press Release Announcing Takeover Bid

The Securities and Exchange Commission today charged Michael A. Glickstein and his New York-based investment advisory firm with fraud based on a misleading press release announcing their offer to purchase a majority stake in retail bookseller Barnes & Noble. Read more


Investor Alert: Investment-Related Radio Programs Used to Defraud

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with an overview of fraudulent schemes that may be carried out through radio programs.Read more


SEC Charges Two Philadelphia Area Men For Defrauding Friends And Family In Private Equity Fund

The Securities and Exchange Commission today announced settled charges with two Philadelphia-area men and their investment advisory firm who allegedly defrauded investors in a private equity fund they managed. Under the settlement, the respondents will owe approximately $6.8 million to the SEC. The SEC intends to distribute collected money to harmed investors. Read more