Selected Press Releases

January 4, 2012
The Securities and Exchange Commission today charged an Illinois-based investment adviser with offering to sell fictitious securities on LinkedIn and it issued two alerts in an agency-wide effort to...
December 15, 2011
The Securities and Exchange Commission today charged a father and son in Utah with securities fraud for selling purported investments in their real estate business that turned out to be nothing more...
December 6, 2011
The Securities and Exchange Commission today announced that it has filed charges and obtained an emergency court order to halt a prime bank scheme in which the perpetrators stole investor funds to...
November 15, 2011
The Securities and Exchange Commission today hosted a shadowing event at its Washington D.C. headquarters and several regional offices to enable high school students studying finance to gain some...
August 29, 2011
The Securities and Exchange Commission today charged two Florida men with operating a Ponzi scheme disguised as a purported private equity fund that fraudulently raised approximately $22 million from...
August 5, 2011
The Securities and Exchange Commission today charged a former board member at Mariner Energy Inc. and his son with insider trading on confidential information about the impending takeover of the oil...
July 20, 2011
The Securities and Exchange Commission today issued an investor bulletin highlighting some of the most significant risks that foreign currency exchange (forex) transactions may pose for individual...
June 30, 2011
The Securities and Exchange Commission today filed securities fraud charges against several CEOs, their companies, and two penny stock promoters alleging they used kickbacks, a bribe and blast e-...
June 29, 2011
The Securities and Exchange Commission today charged Raymond James & Associates Inc. and Raymond James Financial Services Inc. for making inaccurate statements when selling auction rate...
June 9, 2011
The Securities and Exchange Commission today issued an Investor Bulletin outlining the risks of investing in companies that enter U.S. markets through so-called “reverse mergers.”
May 17, 2011
The Securities and Exchange Commission today entered into a Deferred Prosecution Agreement (DPA) with Tenaris S.A. in its first-ever use of the approach to facilitate and reward cooperation in SEC...
April 29, 2011
The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of China Voice Holding Corp., which trades in over-the-counter markets and has claimed to...
April 19, 2011
Washington, D.C., April 19, 2011 — The Securities and Exchange Commission today published on its website a request for public comment on the effectiveness of existing investor education efforts as...
March 29, 2011
Washington, DC, March 29, 2011 – The Securities and Exchange Commission today charged a U.S. Food and Drug Administration (FDA) chemist with insider trading on confidential information about upcoming...
March 28, 2011
Washington, DC, March 28, 2011 – The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of two online payday loan companies and their owner...
March 17, 2011
Washington, DC, March 17, 2011 – The Securities and Exchange Commission today charged four executives at a Louisville-based steel processing company and four of their family and friends with illegal...
March 16, 2011
Washington, DC, March 16, 2011 – The Securities and Exchange Commission today charged three senior executives at Akron, Ohio-based Fair Finance Company with orchestrating a $230 million fraudulent...
March 15, 2011
Washington, DC, March 15, 2011 – The Securities and Exchange Commission today charged a hedge fund investment advisory firm and its two founders with orchestrating a multi-faceted scheme to defraud...
March 7, 2011
Washington, DC, March 7, 2011 – The Securities and Exchange Commission today amended its complaint against a Stamford, Conn.-based investment adviser and its principal, Francisco Illarramendi, to...
March 3, 2011
Washington, DC, March 3, 2011 – The Securities and Exchange Commission today announced a settlement with the chief executive officer of an Atlanta-based homebuilder to recover several million dollars...
March 1, 2011
Washington, DC, March 1, 2011 – The Securities and Exchange Commission today announced insider trading charges against a Westport, Conn.-based business consultant who has served on the boards of...
February 18, 2011
Washington, D.C., February 18, 2011 — The Securities and Exchange Commission today charged a group of seven individuals who perpetrated a fraudulent pump-and-dump scheme in the stock of a sham...
January 27, 2011
Washington, D.C., January 27, 2011 — The Securities and Exchange Commission today announced that it has published a staff study recommending steps to help investors better access information about...
January 27, 2011
Washington, D.C., January 27, 2011 — The Securities and Exchange Commission today announced that it has published a staff study recommending steps to help investors better access information about...
January 22, 2011
Washington, D.C., Jan. 22, 2011 — The Securities and Exchange Commission submitted to Congress a staff study recommending a uniform fiduciary standard of conduct for broker-dealers and investment...

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