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News and Alerts

05/06/2016

SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners

The Securities and Exchange Commission today announced fraud charges against a Pittsburgh, Pa.-based financial adviser accused of taking money without permission from the accounts of several professional athletes in order to invest in movie projects and make Ponzi-like payments.Read more

05/04/2016

SEC Charges Unregistered Brokers with Pocketing Investor Money

The Securities and Exchange Commission today charged two men with pocketing investor money they raised for limited liability companies they owned and controlled that purportedly held warrants to purchase the common stock of a technology startup company. Read more

05/03/2016

SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes

The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in schemes to trick investors into buying shares of a particular company stock. Read more

05/02/2016

Investor Bulletin: Stop and Stop Limit Orders

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the difference between using “stop” and “stop limit” orders to buy and sell stocks.Read more

04/29/2016

SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams

The Securities and Exchange Commission today announced that an accounting firm and one of its partners who conducted surprise examinations of client assets at an investment adviser have agreed to settle charges that they performed inadequately as the adviser’s president secretly stole money from accounts belonging to professional athletes. Read more