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Selected Press Releases

Former TV Commentator Settles Penny Stock Fraud Charges

03/29/2016

The Securities and Exchange Commission today announced that a former market analyst and TV news commentator has agreed to settle charges that he and his company fraudulently promoted a penny stock to investors. Read more

SEC: Biotech Company Misled Investors About New Drug's Status With FDA

03/29/2016

The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based biotech company and three former executives for misleading investors about the company’s efforts to obtain Food and Drug Administration (FDA) approval for its flagship developmental drug to treat kidney cancer.Read more

Securities Professional Charged With Defrauding Institutional Investors Shell Company Name Was Deceptively Similar to a Legitimate Fund

03/28/2016

The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose name was deceptively similar to that of a legitimate private equity fund. Read more

SEC Halts Fraud by Manager of Investments in Pre-IPO Companies

03/25/2016

The Securities and Exchange Commission today announced fraud charges and asset freezes obtained in a case filed against a New Jersey-based fund manager and two firms he controls that marketed shares in promising pre-IPO tech companies in the Bay Area. The SEC alleges they stole $5.7 million from investors and diverted millions more to other improper and undisclosed uses.Read more

SEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses

03/15/2016

The Securities and Exchange Commission today charged a former Boston resident with operating a $10 million Ponzi scheme that claimed to generate profits from “bridge loans” to businesses in Jamaica.Read more