Skip to content

Font size: A- | A | A+

Investor.gov Logo for Print
Press Alt + shift + h then Enter to skip to secondary navigation. Mac users press Control + shift + h

Selected Press Releases

SEC Charges 34 Defendants in Microcap Market Manipulation Schemes

07/14/2015

The Securities and Exchange Commission today charged 15 individuals and 19 entities for their roles in alleged schemes to manipulate the trading of microcap stocks. The 34 defendants include six firms alleged to have acted as unregistered broker-dealers catering to customers who sought to conceal their stock ownership and manipulate the market for microcap securities. Read more

SEC Announces Settlement With Cooperator in Grand Central Post-It Notes Insider Trading Case

07/13/2015

The Securities and Exchange Commission today announced a settlement with a Brooklyn man who entered into a cooperation agreement to help the agency mount evidence in an insider trading scheme in which illegal tips were passed via napkins or post-it notes at Grand Central Terminal. Read more

SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors

07/06/2015

The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a $68 million Ponzi-like scheme and affinity fraud that targeted the Chinese-American community in California and investors in Asia, including some solicited as part of the EB-5 Immigrant Investor Program.Read more

SEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities

07/02/2015

The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a pyramid and Ponzi scheme falsely promising a gold mine of investment opportunity to investors in Spanish and Portuguese-speaking communities in Massachusetts, Florida, and elsewhere in the U.S. Read more

SEC Charges Former Stockbroker With Conducting Ponzi Scheme

07/01/2015

The Securities and Exchange Commission today charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and afford his own vacations and other luxuries.Read more