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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:

12/12/2012

Washington, D.C., Dec. 12, 2012 — The Securities and Exchange Commission today charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 million in illicit profits. He and his firms have agreed to pay $44 million to settle the SEC’s charges. Read more: Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks

12/11/2012

Washington, D.C., Dec. 11, 2012 — The Securities and Exchange Commission today charged a New York-based fund manager with conducting a pair of illegal trading schemes to financially benefit his investment fund Octagon Capital Partners LP. Read more: SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes

12/10/2012

Washington, D.C., Dec. 10, 2012 — The Securities and Exchange Commission today announced charges against eight former members of the boards of directors overseeing five Memphis, Tenn.-based mutual funds for violating their asset pricing responsibilities under the federal securities laws. Read more: SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation

12/10/2012

Washington, D.C., Dec. 10, 2012 — The Securities and Exchange Commission today charged a New Jersey-based consultant with violating securities laws and defrauding some investors while helping Chinese companies gain access to the U.S. capital markets. Read more: SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws

12/07/2012

Washington, D.C., Dec. 7, 2012 — The Securities and Exchange Commission today announced charges against a Florida-based securities lawyer for issuing fraudulent attorney opinion letters that resulted in more than 70 million shares of microcap stock becoming available for unrestricted trading by investors. Read more: SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks