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Selected Press Releases

SEC Charges Accountant for Madoff Clients for Role in Creating False Books and Records

09/26/2013

The Securities and Exchange Commission today charged the longtime accountant for many of Bernard Madoff’s oldest and wealthiest clients for his role in the creation of false books and records used in the massive Ponzi scheme.Read more

SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan

09/26/2013

The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and its sole owner charged with perpetrating a Ponzi scheme against thousands of investors living primarily in Japan.Read more

SEC Charges Two Bank Executives for Financial Misstatements and Failure to Disclose Probable Loss on Troubled Loan

09/24/2013

The Securities and Exchange Commission today charged two former bank executives at Illinois-based Mercantile Bancorp with failing to recognize in financial statements a probable loss on one of the bank’s largest troubled loans.Read more

SEC Charges Independent Filmmaker With Insider Trading

09/23/2013

The Securities and Exchange Commission today charged a Manhattan-based independent filmmaker with insider trading on confidential information about impending takeovers of two biotechnology companies.Read more

SEC Charges TD Bank and Former Executive for Roles in Rothstein Ponzi Scheme in South Florida

09/23/2013

The Securities and Exchange Commission today charged TD Bank and a former executive with violating securities laws in connection with a massive South Florida-based Ponzi scheme conducted by Scott Rothstein, who is now serving a 50-year prison sentence.Read more