SEC charges former executives of San Francisco Bay area company with accounting violations ow.ly/NIDW30rvjzN
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SEC Enforcement
@SEC_Enforcement
SEC’s Division of Enforcement. Submit tips and complaints: sec.gov/tcr. Disclaimer: ow.ly/5hB230oHjhr
sec.gov/divisions/enfo…Joined May 2011
SEC Enforcement’s Tweets
SEC charges three individuals in digital asset fraud ow.ly/zm8430rva4K
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SEC charges Vuuzle Media Corp. and affiliated individuals in connection with $14 million offering fraud ow.ly/Wu6q50DjZbu
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SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device: sec.gov/news/press-rel
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SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution: sec.gov/news/press-rel
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General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations: sec.gov/news/press-rel
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Global Securities Pricing Service to Pay $8 Million for Compliance Failures: sec.gov/news/press-rel
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SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors: sec.gov/news/press-rel
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SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 - ow.ly/NEiJ50C9oZf
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Director Stephanie Avakian speaks about the Enforcement Division at the Institute for Law and Economics, University of Pennsylvania Carey Law School Virtual Program sec.gov/news/speech/av
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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
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SEC charges former Georgia state legislator with defrauding investors in Ponzi scheme ow.ly/z6X150AMLkh
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SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators. ow.ly/auqe50AKay1
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SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims sec.gov/news/press-rel
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Co-Director Steven Peikin speaks about Enforcement’s response to the ongoing COVID-19 crisis at the Securities Enforcement Forum West 2020. sec.gov/news/speech/ke
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SEC files first substantive fraud charges relating to the COVID-19 crisis. sec.gov/news/press-rel
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. Co-directors warn investors of new financial fraud opportunities created by #COVID19 and share what they're doing to help prevent them.
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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
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Zoom Technologies (ticker ZOOM) is NOT the similarly-named popular video communications company. Today the SEC suspended trading in the securities of Zoom Technologies.
ow.ly/yPpg50yWr5u
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We mourn the passing of Judge Stanley Sporkin, former Director of the Division of Enforcement. Judge Sporkin was an extraordinary leader of the Division and a model for those of us who came after him. He leaves behind a lasting and indelible impact on the SEC and will be missed.
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Statement from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement, Regarding Market Integrity ow.ly/kBe450yTs15
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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
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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
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The Division of Enforcement returned nearly $1.2 billion to investors last year. What else did we do for American investors? Read our full analysis here: ow.ly/VEEO50x3uX4
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Statement from Chairman Jay Clayton Regarding Offers of Settlement ow.ly/cZWW50uSUHY
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SEC obtains final judgment against former broker for defrauding customers ow.ly/8a8T50u0Mdm
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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
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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...
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3/ ... I look forward to working with our talented and dedicated colleagues across the country as we continue our work protecting investors in this critical industry." ow.ly/cbSl50tWGmy
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2/ ... I have been with the Unit since its inception, and I have tremendous pride in its people, its work, and all it has accomplished so far. ...
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#SEC's Enforcement Co-Director Peikin: "I am confident that Adam and his Co-Chief, Dabney O'Riordan, will together provide strong leadership of the Asset Management Unit and continue to deliver results for investors harmed by asset manager misconduct." ow.ly/wFCM50tWGhR
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#SEC's Enforcement Co-Director Avakian: "Adam is a highly respected leader and his broad experience and strong judgment are a tremendous asset. We look forward to working closely with him as co-chief of the Asset Management Unit." ow.ly/2Z1450tWGe9
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2/ ...Even after charging Meli, who is now in prison for his similar scam, the #SEC's investigative team continued working to protect investors from related bad conduct." ow.ly/woXQ50tbYOB
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