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Selected Press Releases

SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses

06/10/2015

The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge fund manager and defrauding small companies out of more than $4 million. Read more

Trader to Pay $1 Million for Short Selling Violations

06/09/2015

The Securities and Exchange Commission today announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he shorted U.S. stocks in companies planning follow-on offerings and then illegally bought shares in the follow-on offerings to lock in significant profits with little to no market risk.Read more

SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger

06/09/2015

The Securities and Exchange Commission today charged three men living in California with insider trading in the stock and options of a biotechnology company where one of them worked. Read more

SEC Freezes Profits From Scheme to Manipulate Avon Stock

06/04/2015

The Securities and Exchange Commission today announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes to manipulate Avon and other stocks, thwarting any ability to cash in on ill-gotten proceeds. Read more

SEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors

06/03/2015

The Securities and Exchange Commission today warned investors to thoroughly check the claimed credentials of people soliciting their investments to ensure they are not falsifying, exaggerating, or hiding facts about their backgrounds. The agency has brought several recent enforcement cases along these lines, including two actions announced today. Read more