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Selected Press Releases

SEC Charges Brothers-in-Law in Louisiana With Insider Trading

02/19/2015

The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law whom he allegedly tipped with nonpublic information ahead of the company’s merger. Read more

SEC Halts Colorado-Based Pyramid Scheme

02/18/2015

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against two operators of a Colorado-based pyramid and Ponzi scheme that promises investors extraordinary returns of 700 percent through a purported “triple algorithm” and “3-D matrix.”Read more

SEC Announces Fraud Charges Against Purported Hedge Fund Manager

02/13/2015

The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with stealing money from his investors. Read more

SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets

02/12/2015

The Securities and Exchange Commission today charged an investment adviser to several alternative mutual funds for maintaining millions of dollars of the funds’ cash collateral at broker-dealer counterparties instead of the funds’ custodial bank. The violations were uncovered during an SEC examination of the firm and the funds it manages. Read more

SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer

02/11/2015

The Securities and Exchange Commission today announced charges against an Atlanta resident accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned from the friend of a company executive. Read more