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 Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media

04/08/2014

The Securities and Exchange Commission today announced fraud charges against a Honolulu woman posing as an investment banker and soliciting investors through Twitter, Facebook, and other social media.Read more

SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading Firm and Co-Owners Charged With Registration Violations

04/04/2014

The Securities and Exchange Commission today charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly traded stocks through an illegal practice known as “layering” or “spoofing.” Read more

SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award

04/04/2014

The Securities and Exchange Commission today announced that the whistleblower who received the first award under the agency’s new whistleblower program will receive an additional $150,000 payout after the SEC collected additional funds in the case.Read more

SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients

04/03/2014

The Securities and Exchange Commission today announced charges against a St. Petersburg, Fla.-based financial services firm for improperly calculating advisory fees and overcharging clients.Read more

SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition

04/03/2014

The Securities and Exchange Commission today charged two friends with insider trading on confidential information from an investment banker about an impending transaction between engineering and construction companies.Read more