The SEC has suspended trading in securities of companies based on unreliable claims they were developing treatments for COVID-19. If you see such questionable claims in connection with investments, submit a tip here: sec.gov/tcr..
SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution: sec.gov/news/press-rel…..
The SEC’s Enforcement Division is fighting Coronavirus-related investment scams. To help us combat Coronavirus-related securities fraud, report suspicious investment pitches here: sec.gov/tcr..
SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims sec.gov/news/press-rel…..
2/2 ... We encourage anyone that suspects potential investment fraud to report it to the SEC.” ow.ly/8Tnn30nQhip..
The SEC is on the lookout for potential #COVID19 related scams. To prevent investor harm, the SEC has recently suspended trading in nine companies, including three yesterday. Click here to see all trading suspensions: sec.gov/litigation/sus…..
SEC charges Lumber Liquidators with fraud ow.ly/p07B30o15gr..
SEC charges former Georgia state legislator with defrauding investors in Ponzi scheme ow.ly/z6X150AMLkh..
SEC Obtains Preliminary Injunction Against Blockvest LLC and Its Founder for Making Fraudulent Offers of Securities in Reconsideration of Earlier Order ow.ly/117Q30nHLrz..
SEC halts Ponzi scheme targeting Vietnamese investors ow.ly/jjw330o5Q6Z..
1/ #SEC #Enforcement Associate Director Bandy: "GT and its CEO painted a rosy picture of the company’s performance and ability to obtain funding that was paramount to GT’s survival while they were aware of information that would have catastrophic consequences for the company...
2/ ... We will continue to hold chief executives accountable when they breach their most fundamental duty to make full and truthful disclosures to investors.” ow.ly/X2K050tWGsu..
Hollywood film producer agrees to settle multi-million dollar offering fraud charges ow.ly/jqIn30o2b8n..
General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations: sec.gov/news/press-rel…..
SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device: sec.gov/news/press-rel…..
SEC obtains final judgment against former broker for defrauding customers ow.ly/8a8T50u0Mdm..
SEC charges Texas radio host "The Money Doctor," halts Ponzi Scheme targeting elderly investors ow.ly/HfKb30o1i9c..
#SEC charges #microcap fraudster with running a pump-and-dump scheme ow.ly/dzbV50rdWmk..
ICYMI: Accounting Firm and Partner Charged with Audit Failures ow.ly/BmxK30nGGOY..
2/ ...We will continue to hold issuers accountable for such serious breaches of trust to the investing public." ow.ly/E1oj50tbYIN..
SEC charges nine individuals and companies for roles in microcap scheme ow.ly/aw9930o1d7S..
#SEC charges sapphire glass manufacturer and former CEO with fraud sec.gov/news/press-rel…..
Enforcement Co-Director Steven Peikin to Depart;
SEC Actions Resulted in Return of Over $3 Billion to Harmed Investors During Peikin’s Three-Year Term ow.ly/hxci50ARFTk..
SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators. ow.ly/auqe50AKay1..
2/2 ...This action demonstrates the resolve of the SEC in pursuing fraudsters who use elaborate financing schemes to engage in securities fraud.” ow.ly/GSts30nIw9n..