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Selected Press Releases

SEC Charges Unregistered Brokers with Pocketing Investor Money

05/04/2016

The Securities and Exchange Commission today charged two men with pocketing investor money they raised for limited liability companies they owned and controlled that purportedly held warrants to purchase the common stock of a technology startup company. Read more

SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes

05/03/2016

The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in schemes to trick investors into buying shares of a particular company stock. Read more

SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams

04/29/2016

The Securities and Exchange Commission today announced that an accounting firm and one of its partners who conducted surprise examinations of client assets at an investment adviser have agreed to settle charges that they performed inadequately as the adviser’s president secretly stole money from accounts belonging to professional athletes. Read more

SEC Announces Financial Fraud Cases

04/19/2016

The Securities and Exchange Commission today announced a pair of financial fraud cases against companies and then-executives accused of various accounting failures that left investors without accurate depictions of company finances. Read more

SEC Charges Litigation Marketing Company With Bilking Retirees

04/15/2016

The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty investment returns from settlement proceeds. Read more