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Investor Alerts

Investors Beware of Entity Calling Itself “U.S. Securities and Equities Administration”

05/11/2010

The staff of the United States Securities and Exchange Commission (SEC) is issuing this Investor Alert about an entity calling itself the “U.S. Securities and Equities Administration” and other similar names, including the “U.S. Securities Administration” or the “U.S. Securities Bureau.”Read more

Investor Alert: SEC Warns of Government Impersonators

04/28/2010

SEC staff are aware of a number of ongoing investment scams in which con artists have used the names of real SEC employees to trick victims, including non-U.S. investors, into giving the fraudsters access to their brokerage accounts, revealing private information, and even sending the perpetrators money and other assets. Impersonation of U.S. Government agencies and employees (as well as of legitimate financial services entities) is one of several characteristic features of advance fee fraud solicitations and other fraudulent schemes. Even where the fraudsters do not request that funds be sent directly to them, they may use the personal information they obtain to steal the individual’s identity and then misappropriate his or her financial assets.Read more

Investor Warning Relating to Eric V. Bartoli, Enrico Orlandini, and DT Analysis a/k/a and Dow Theory Analysis SAC

04/14/2010

The staff of the Securities and Exchange Commission (SEC) has received credible information suggesting that an individual named Eric Bartoli, who was previously sued by the SEC for securities fraud, may currently be located in Peru and engaged in securities solicitations of investors, using the alias Enrico Orlandini. Read more

Investors Beware of Phony SIPC “Look-Alike” Website Targeting Madoff Victims

03/09/2010

The SEC is warning investors about a website that falsely claims that $1.3 billion in Madoff money has been found in Malaysia and encourages individuals to submit information to verify that they are on a refund list. The website was created as a fake mirror image of the Securities Investor Protection Corporation’s (SIPC) website.Read more

Information Concerning Malaysian Restitution Fund for SwissCash Investors

12/22/2009

This Alert concerns a restitution fund established by the Securities Commission Malaysian (“Malaysian SC”) in a settlement involving various entities operating under the name “Swisscash”, including “Swiss Mutual Fund (1948),” and through websites encompassing variations on the names “Swisscash” and “SwissMutualFund.”Read more