Selected Press Releases

December 5, 2017
A California-based audit firm is being charged with conducting flawed audits and reviews of financial statements, which are critical sources of information for investors
December 4, 2017
The Securities and Exchange Commission today announced it obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering (ICO) fraud that raised up to $15 million from thousands of...
December 4, 2017
The Securities and Exchange Commission today charged a Seattle-area outdoor digital signage advertising company and two of its senior executives with stealing more than $2 million from retail...
November 30, 2017
The Securities and Exchange Commission today announced awards of more than $8 million each to two whistleblowers whose critical information and continuing assistance helped the agency bring the...
November 30, 2017
Miami Office’s Recidivist Initiative Nets 23 Enforcement Actions to Date FOR IMMEDIATE RELEASE 2017-218 Washington D.C. — The Securities and Exchange Commission today charged two individuals with...
November 24, 2017
Agency Obtains Court Order to Stop “Ad Packs” Ponzi Scheme FOR IMMEDIATE RELEASE 2017-208 Washington D.C. — The Securities and Exchange Commission is warning investors to beware online “paid-to-click...
November 21, 2017
FOR IMMEDIATE RELEASE 2017-213 Washington D.C. — The Securities and Exchange Commission today charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s...
November 3, 2017
Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S. stocks in companies planning follow-on offerings and then illegally...
November 3, 2017
The Securities and Exchange Commission today charged a day trader based in the Philadelphia area with participating in a scheme to access the brokerage accounts of more than 100 unwitting victims and...
November 2, 2017
The Securities and Exchange Commission today charged a Maryland-based biotech company and four former top executives with prioritizing revenue growth over lawful accounting and misleading investors...
November 1, 2017
A petroleum engineer who worked at Texas-based energy company Apache Corporation has agreed to settle SEC charges that he conducted insider trading ahead of a market-moving announcement about the...
October 25, 2017
The Securities and Exchange Commission today charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding his fund clients by secretly billing them for...
October 17, 2017
Worldwide Mining Company Alleged to Have Inflated Asset Values FOR IMMEDIATE RELEASE 2017-196 Washington D.C. — The Securities and Exchange Commission today charged mining company Rio Tinto and two...
October 12, 2017
The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating...
October 11, 2017
The Securities and Exchange Commission today charged three individuals who defrauded investors in a company that falsely claimed to be developing a caffeinated chocolate snack and nearing an...
October 11, 2017
The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank check” companies secretly bound for reverse mergers.
October 5, 2017
FOR IMMEDIATE RELEASE 2017-189 Washington D.C. — The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail...
October 5, 2017
FOR IMMEDIATE RELEASE 2017-189 Washington D.C. — The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail...
October 3, 2017
The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have valuable patents. One of those charged had been barred...
October 2, 2017
The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA), is leading efforts in the U.S. to...
September 29, 2017
The Securities and Exchange Commission today charged a former broker, his company, and his business partner in an alleged real estate investment scheme utilizing high-pressure sales tactics to pilfer...
September 29, 2017
The Securities and Exchange Commission today charged a businessman and two companies with defrauding investors in a pair of so-called initial coin offerings (ICOs) purportedly backed by investments...
September 29, 2017
The Securities and Exchange Commission today charged a former executive at Life Time Fitness Inc., a middleman tipper, and six traders with insider trading ahead of the announcement that the company...
September 28, 2017
The Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents, municipal advisors and...
September 28, 2017
The Securities and Exchange Commission today charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to customers and hefty commissions for the...

Pages