Selected Press Releases

June 16, 2015
The Securities and Exchange Commission today announced charges against an Ohio-based self-directed IRA provider accused of ignoring red flags for accounts with investments that turned out to be...
June 15, 2015
The Securities and Exchange Commission today announced fraud charges against a Washington D.C.-based investment advisory firm’s former president accused of stealing client funds. The firm and its...
June 10, 2015
The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge fund manager and defrauding small companies out of more than $4 million.
June 9, 2015
The Securities and Exchange Commission today announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he shorted U.S. stocks in companies planning...
June 9, 2015
The Securities and Exchange Commission today charged three men living in California with insider trading in the stock and options of a biotechnology company where one of them worked.
June 4, 2015
The Securities and Exchange Commission today announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes to manipulate Avon and other stocks, thwarting any ability to cash...
June 3, 2015
The Securities and Exchange Commission today warned investors to thoroughly check the claimed credentials of people soliciting their investments to ensure they are not falsifying, exaggerating, or...
June 1, 2015
The Securities and Exchange Commission today charged an investment adviser in Miami with siphoning money from his investment fund and defrauding investors, including several local teachers and law...
May 28, 2015
The Securities and Exchange Commission today announced a maximum whistleblower award payment of 30 percent of amounts collected in connection with In the Matter of Paradigm Capital Management, Inc...
May 28, 2015
The Securities and Exchange Commission today announced fraud charges against a Long Island man accused of fleecing investors and stealing money from a brokerage firm where he worked as the director...
May 26, 2015
The Securities and Exchange Commission today announced fraud charges against a securities lawyer who used his New York law office as the headquarters for planning and implementing market manipulation...
May 21, 2015
The Securities and Exchange Commission today announced fraud charges against an Atlanta-based investment advisory firm and two executives accused of selling unsuitable investments to pension funds...
May 20, 2015
The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest created by the outside business activity of...
May 20, 2015
he Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm.
May 14, 2015
The Securities and Exchange Commission today charged Nationwide Life Insurance Company with routinely violating pricing rules in its daily processing of purchase and redemption orders for variable...
May 14, 2015
The Securities and Exchange Commission today charged a father and son in New York with conducting a serial insider trading scheme involving tips of key nonpublic information in coded e-mail messages...
May 12, 2015
The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany, and its chief financial officer Daniel...
May 11, 2015
The Securities and Exchange Commission today charged a self-described retirement planning firm and its principals with falsely telling customers that interests in life settlements they offered and...
April 29, 2015
The Securities and Exchange Commission today announced charges against a Santa Barbara, Calif.-based hedge fund advisory firm and two executives involved in improper allocations of fund assets to pay...
April 22, 2015
The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance professional who provided information that assisted the SEC in an enforcement action...
April 22, 2015
The Securities and Exchange Commission today charged W2007 Grace Acquisition I Inc., a real estate investment firm, with failing to make required public filings. W2007 Grace, which is indirectly...
April 16, 2015
The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at least $20 million from customers to fund his own brokerage...
April 16, 2015
The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in a scheme to offer and sell penny stock in undisclosed “blank check” companies bound for reverse...
April 14, 2015
The Securities and Exchange Commission today announced fraud charges and an asset freeze against a man living in central Texas accused of telling false tales about his stockbroking experience to lure...
April 9, 2015
The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based microcap scheme, including three boiler room brokers caught...

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