Showing posts with label SEC. Show all posts
Showing posts with label SEC. Show all posts
Wednesday, November 5, 2014

SEC, FINRA ISSUE ALERT TO INVESTORS REGARDING SHELL COMPANIES BEING SOLD AS PENNY STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the...
Wednesday, September 3, 2014

SEC ANNOUNCES WHISTLEBLOWER AWARD OF $300,000

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 FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced a whistleblower award of more than $300,...
Wednesday, August 6, 2014

SEC CHARGES 4 PROMOTERS WITH MANIPULATING THE SECURITIES OF MICROCAP MARIJUANA-RELATED STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION   The Securities and Exchange Commission today charged four promoters with ties to the Pa...
Wednesday, July 23, 2014

TRADER PLEADS GUILTY FOR PARTICIPATION IN HIGH YIELD INVESTMENT FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION   Monday, July 21, 2014 Unlicensed Trader Pleads Guilty in Los Angeles for Role in Fraud...
Wednesday, July 9, 2014

SEC CHARGES SCHOOL DISTRICT WITH MISLEADING BOND INVESTORS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a school district in California with mis...
Wednesday, June 11, 2014

SEC ISSUES INVESTOR ALERT REGARDING FINANCIAL PROFESSIONALS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to hel...
Sunday, June 8, 2014

SEC FILES ACTION TO HALT ALLEGED ONGOING FRAUD

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission filed an emergency  enforcement action to halt an ong...

SEC CHARGES BROKERAGE FIRM WITH IMPROPER USE OF TRADER CONFIDENTIAL INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a New York-based brokerage firm that operat...
Thursday, June 5, 2014

BITCOM-RELATED WEBSITE OWNER CHARGED BY SEC WITH OFFERING UNREGISTERED SECURITIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged the co-owner of two Bitcoin-related...
Wednesday, June 4, 2014

SEC CHARGES CHARTER SCHOOL OPERATOR WITH DEFRAUDING INVESTORS IN $37.5 MILLION BOND OFFERING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a charter school operator in Chicago with...
Sunday, May 25, 2014

SEC ANNOUNCES ANOTHER CASE INVOLVING ALLEGED SECURITIES PRICE MANIPULATION IN A MICROCAP COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23000 / May 22, 2014 The Securities and Exchange Commission an...
Thursday, May 22, 2014

CHIEF RISK OFFICER OF AUDIT COMPANY CHARGED WITH VIOLATING AUDITOR INDEPENDENCE RULES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged the former chief risk officer at Delo...
Saturday, May 17, 2014

SEC WARNS INVESTORS TO TAKE CARE WHEN INVESTING IN MICRO CAP MARIJUANA INDUSTRY COMPANIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today cautioned investors about the potential for...
Wednesday, May 14, 2014

ONE ARRESTED, ANOTHER SOUGHT AS A FUGITIVE FOR ROLES IN PYRAMID SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Criminal Charges Filed Against Two Principals of Massachusetts-Based Telexfree On Frida...
Tuesday, May 13, 2014

THREE SOFTWARE COMPANY FOUNDERS CHARGED BY SEC WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today filed insider trading charges against three ...
Monday, May 12, 2014

SEC COMMISSIONER GALLAGHER'S REMARKS AT ROCKY MOUNTAIN SECURITIES CONFERENCE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Remarks at the 46th Annual Rocky Mountain Securities Conference Share on printShare on ...
Friday, May 2, 2014

SEC CHARGES RETIREMENT PLAN ADMINISTRATOR WITH DEFRAUDING INVESTORS WITH IRA ACCOUNTS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced fraud charges and an asset freeze agai...
Tuesday, April 8, 2014

SEC COMMISSIONER PIWOWAR'S REMARKS AT ANNUAL INTERNATIONAL INSTITUTE FOR SECURITIES MARKET DEVELOPMENT

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SPEECH  Welcoming Remarks at the SEC 24th Annual International Institute for Securities ...