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Selected Press Releases

SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme

06/16/2015

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 fraudulent.Read more

Investment Advisory Firm’s Former President Charged With Stealing Client Funds

06/15/2015

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 chief compliance officer separately agreed to settle charges that they were responsible for compliance failures and other violations.Read more

SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses

06/10/2015

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. Read more

Trader to Pay $1 Million for Short Selling Violations

06/09/2015

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 follow-on offerings and then illegally bought shares in the follow-on offerings to lock in significant profits with little to no market risk.Read more

SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger

06/09/2015

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. Read more