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News and Alerts

The SEC's Office of Investor Education and Advocacy regularly publishes educational content and participates in a variety of outreach events, all designed to help investors make better decisions and avoid fraud. Tune in to Investor.gov for news, alerts, and events that may be of interest to you.

In this section, you will find:

07/22/2016

The Securities and Exchange Commission today suspended an accountant for conducting a faulty audit of the financial statements of a public company that was committing fraud, and the firm where he was a partner at the time has been prohibited from accepting new public company clients for one year. Read more: Accountant Suspended for Failing to Spot Fraud in Company Audit

07/22/2016

The Securities and Exchange Commission today announced it has won a court-ordered asset freeze to halt an ongoing fraud by two former brokers with disciplinary histories who allegedly raised more than $5 million from investors without using the money as promised. Read more: SEC Halts Ongoing Fraudulent Stock Scheme

07/18/2016

Older Americans are often targets of investment fraud. The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud. Below are five “red flags” seniors should look out for when making an investment decision. Read more: Updated Investor Alert for Seniors: Five Red Flags of Investment Fraud

07/14/2016

The Securities and Exchange Commission today announced an enforcement action against an investment advisory firm that failed to properly prepare clients for additional transaction costs beyond the “wrap fees” they pay to cover the cost of several services bundled together. Read more: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors

07/12/2016

The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges that a computer coding error caused the firm to provide the agency with incomplete “blue sheet” information about trades it executed. Read more: SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years