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News and Alerts

06/08/2016

SEC: Morgan Stanley Failed to Safeguard Customer Data

The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. Read more

06/03/2016

Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks

The Securities and Exchange Commission today charged two Rhode Island men with insider trading in the securities of deal targets being pursued by the pharmaceutical company where one of them worked.Read more

06/02/2016

SEC: Adviser Steered Investor Money to His Own Companies

The Securities and Exchange Commission today charged a North Carolina-based investment adviser with defrauding investors by secretly steering portions of real estate-related investments into deals with companies that he owned or operated himself.Read more

06/02/2016

SEC Halts EB-5 Scheme Stealing Investments in Cancer Center

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a husband and wife accused of misusing two-thirds of the money they raised from investors for the purpose of building and operating a new cancer treatment center that would use proton beam radiation to help oncology patients in Southern California.Read more

06/02/2016

SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses

The Securities and Exchange Commission today charged a New York City-based trader with defrauding investors out of millions of dollars by misrepresenting her investment track record, the profitability of her investments, and her use of investor funds. Read more