Skip to content

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

News and Alerts


SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past

The Securities and Exchange Commission today announced fraud charges against an unregistered fund manager accused of hiding his checkered past while providing false and misleading data to investors and an independent research firm.Read more


SEC Awarding Nearly $2 Million to Three Whistleblowers

The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. Read more


SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering

The Securities and Exchange Commission today charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. Read more


SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business

The Securities and Exchange Commission today announced that Qualcomm Incorporated has agreed to pay $7.5 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by hiring relatives of Chinese government officials deciding whether to select the company’s mobile technology products amid increasing competition in the international telecommunications market. Read more


Investor Bulletin: Crowdfunding for Investors

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about a new investing opportunity in the form of securities-based crowdfunding.Read more