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@NewYork_SEC

The New York Regional Office of the U.S. Securities and Exchange Commission covers N.Y., N.J. Follow for more.

New York, NY
sec.gov
Joined July 2014
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  1. 4 hours ago

    Have you been asked to pay a fee in order for a deal to go through? Learn more about advance fee frauds here:

  2. 4 hours ago

    NJ based Investment Adviser, its President, and its former Chief Compliance Officer settle with SEC on charges relating to multiple violations of the Advisers Act and Safeguards Rule.

  3. 8 hours ago

    Thinking of investing in a variable annuity? Questions you should consider before you do:

  4. 12 hours ago

    Investors Beware: Stock recommendations on investment research websites may not be objective or independent.

    2 replies 1 retweet 1 like
  5. Dec 21

    Tips on spotting promissory note fraud:

  6. Dec 21

    Thinking about investing in a Real Estate Investment Trust? Want to learn more about REITs?

    1 retweet 1 like
  7. Dec 21

    A celebrity endorsement does not mean that an investment is legitimate or appropriate for all investors. Learn more:

    8 retweets 5 likes
  8. Dec 20

    Make sure the entity soliciting your investment is not on the PAUSE list.

    1 like
  9. Dec 20

    SEC obtains final judgment against investment adviser, its principal, and associate who boasted phony assets and a phony track record.

    1 like
  10. Dec 20

    Special issues and risks to consider with international investments or investments with international exposure:

    1 retweet
  11. Dec 20

    Tips on how to protect yourself when using social media:

  12. Dec 19

    40 yrs ago today, the Foreign Corrupt Practices Act (FCPA) was enacted. Click here to read more about FCPA actions brought by the SEC since 1978.

    1 like
  13. Dec 19

    ICYMI: Observations from Municipal Advisor Exams

  14. Dec 19

    SEC’s Wadhwa: Kickback schemes are pernicious and have no place in the securities markets.

  15. Dec 19

    SEC charges broker with giving special access to IPOs in exchange for cash kickbacks.

  16. Dec 19

    SEC temporarily suspends trading in the securities of The Crypto Company (CRCW).

    5 retweets 2 likes
  17. Dec 19

    Investment Adviser sentenced to 42 months for stealing over $1.5mm from clients. SEC’s NY Office brought charges last year.

    1 reply 6 retweets 4 likes
  18. Dec 19

    Investors: Before you engage an investment professional or purchase securities, check out these tools:

  19. Dec 18

    Investment fraud comes in many forms. Click here for some basic facts about different types of frauds:

  20. Dec 18

    Marc Berger named Director of New York Regional Office. Welcome Marc!

    3 retweets 1 like

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