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Selected Press Releases

SEC Charges Two New Jersey-Based Firms and Owner in Stock-Lending Scheme

06/21/2012

The Securities and Exchange Commission today charged a New Jersey businessman with running a stock-lending scheme that defrauded public company officials and brought restricted stock to the market.Read more

SEC Charges Florida Broker in Astrology-Based Ponzi Scheme

06/21/2012

The Securities and Exchange Commission today charged that a former broker in Orlando, FL, defrauded investors in an astrology-based Ponzi scheme.Read more

SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme

06/12/2012

The Securities and Exchange Commission today charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million Ponzi scheme.Read more

OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis

06/06/2012

The Securities and Exchange Commission today charged investment management company OppenheimerFunds Inc. and its sales and distribution arm with making misleading statements about two of its mutual funds struggling in the midst of the credit crisis in late 2008.Read more

SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes

06/04/2012

The Securities and Exchange Commission today charged several penny stock companies and their officers as well as three penny stock promoters involved in various stock schemes in which bribes and kickbacks were paid to hype microcap stocks and illegally generate stock sales.Read more