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Selected Press Releases

SEC Charges Shell Factory Operators With Fraud

05/12/2016

The Securities and Exchange Commission today announced fraud charges against a California stock promoter and a New Jersey lawyer who allegedly were creating sham companies and selling them until the SEC stopped them in their tracks. Read more

SEC Charges Father, Son, Others in Tribal Bonds Scheme

05/11/2016

The Securities and Exchange Commission today charged a father and son and five associates with defrauding investors in sham Native American tribal bonds in order to steal millions of dollars in proceeds for their own extravagant expenses and criminal defense costs. Read more

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

05/06/2016

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

SEC Charges Unregistered Brokers with Pocketing Investor Money

05/04/2016

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

SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes

05/03/2016

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