Selected Press Releases

January 22, 2018
The Securities and Exchange Commission today announced charges against six certified public accountants – including former staffers at the Public Company Accounting Oversight Board (PCAOB) and former...
December 21, 2017
The Securities and Exchange Commission today announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many of...
December 19, 2017
FOR IMMEDIATE RELEASE 2017-234 Washington D.C. — The Securities and Exchange Commission today charged a Wall Street stockbroker with illegally accepting more than $1 million in undisclosed kickbacks...
December 18, 2017
A California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial coin offering (ICO) after being contacted by the...
December 12, 2017
The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations, including the failure to properly report as...
December 11, 2017
The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part of a ring that allegedly stole confidential...
December 7, 2017
The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud.
December 6, 2017
The Securities and Exchange Commission today continued its crackdown on brokers who defraud customers, charging two New York-based brokers with making unsuitable trades that were costly for customers...
December 5, 2017
The Securities and Exchange Commission today announced an award of more than $4.1 million to a former company insider who alerted the agency to a widespread, multi-year securities law violation and...
December 5, 2017
A California-based audit firm is being charged with conducting flawed audits and reviews of financial statements, which are critical sources of information for investors
December 4, 2017
The Securities and Exchange Commission today announced it obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering (ICO) fraud that raised up to $15 million from thousands of...
December 4, 2017
The Securities and Exchange Commission today charged a Seattle-area outdoor digital signage advertising company and two of its senior executives with stealing more than $2 million from retail...
November 30, 2017
The Securities and Exchange Commission today announced awards of more than $8 million each to two whistleblowers whose critical information and continuing assistance helped the agency bring the...
November 30, 2017
Miami Office’s Recidivist Initiative Nets 23 Enforcement Actions to Date FOR IMMEDIATE RELEASE 2017-218 Washington D.C. — The Securities and Exchange Commission today charged two individuals with...
November 24, 2017
Agency Obtains Court Order to Stop “Ad Packs” Ponzi Scheme FOR IMMEDIATE RELEASE 2017-208 Washington D.C. — The Securities and Exchange Commission is warning investors to beware online “paid-to-click...
November 21, 2017
FOR IMMEDIATE RELEASE 2017-213 Washington D.C. — The Securities and Exchange Commission today charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s...
November 3, 2017
Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S. stocks in companies planning follow-on offerings and then illegally...
November 3, 2017
The Securities and Exchange Commission today charged a day trader based in the Philadelphia area with participating in a scheme to access the brokerage accounts of more than 100 unwitting victims and...
November 2, 2017
The Securities and Exchange Commission today charged a Maryland-based biotech company and four former top executives with prioritizing revenue growth over lawful accounting and misleading investors...
November 1, 2017
A petroleum engineer who worked at Texas-based energy company Apache Corporation has agreed to settle SEC charges that he conducted insider trading ahead of a market-moving announcement about the...
October 25, 2017
The Securities and Exchange Commission today charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding his fund clients by secretly billing them for...
October 17, 2017
Worldwide Mining Company Alleged to Have Inflated Asset Values FOR IMMEDIATE RELEASE 2017-196 Washington D.C. — The Securities and Exchange Commission today charged mining company Rio Tinto and two...
October 12, 2017
The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating...
October 11, 2017
The Securities and Exchange Commission today charged three individuals who defrauded investors in a company that falsely claimed to be developing a caffeinated chocolate snack and nearing an...
October 11, 2017
The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank check” companies secretly bound for reverse mergers.

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