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Selected Press Releases

SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations

12/08/2014

The Securities and Exchange Commission today sanctioned a computer programmer for operating two online venues that traded securities using virtual currencies Bitcoin or Litecoin without registering the venues as broker-dealers or stock exchanges.Read more

SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company

12/04/2014

The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving the stock of a Northern Virginia-based company that claims to be in the airport security business. Read more

SEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences

12/03/2014

The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider accused of listing fake occupants at some senior residences in order to meet the requirements of a lease to operate the facilities.Read more

SEC Charges California Resident With Fraudulent Sales of Stock

12/02/2014

The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock that he claimed to own when he had actually purchased them for others a few years before.Read more

SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale

11/21/2014

The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with confidential details about his New Jersey-based company’s nonpublic merger discussions that enabled the friend to make $164,260 in trading profits after it was sold to a private equity firm.Read more