SEC Enforcement
@SEC_Enforcement
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SEC’s Division of Enforcement. Submit tips and complaints: . Disclaimer:
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Elon Musk charged with securities fraud for misleading tweets
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SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution:
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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:
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Capital raising through blockchain requires compliance with federal securities laws
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2/2 ... Social media influencers are often paid promoters, not investment professionals, and the securities they’re touting, regardless of whether they are issued using traditional certificates or on the blockchain, could be frauds.”
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AriseBank got caught selling an alleged ICO to investors and the SEC
shined a light and put a stop to the fake scheme
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2/2 . . . An officer’s celebrity status or reputation as a technological innovator does not give license to take those responsibilities lightly.”
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All exchanges, including platforms for trading blockchain-based securities, must register (unless exempt)
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SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device:
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1/2 SEC ENF Co-Dir Peikin: “Investors should be skeptical of investment advice posted to social media platforms, and should not make decisions based on celebrity endorsements...
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1/2 SEC ENF Co-Director Peikin: “Corporate officers hold positions of trust in our markets and have important responsibilities to shareholders. . .
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General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations:
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SEC’s Cohen: This first Cyber Unit case hits all of the characteristics of a cyber scam and is exactly the kind of misconduct the unit will be pursuing. We acted quickly to protect retail investors from this ICO’s false promises
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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:
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SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme:
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SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims
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1/2 SEC ENF Co-Director Avakian: “Taking care to provide truthful and accurate information is among a CEO’s most critical obligations...
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2/2 ...That standard applies with equal force when the communications are made via social media or another non-traditional form.”
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2/2 ... We encourage anyone that suspects potential investment fraud to report it to the SEC.”
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SEC charges former Georgia state legislator with defrauding investors in Ponzi scheme
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SEC charges Ebay's former director of SEC reporting with insider trading
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2/2 . . . International companies that transact with U.S. investors cannot circumvent compliance with the federal securities laws by using cryptocurrency.”
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JPMorgan to pay more than $135 million for improper handling of ADRs
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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:
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SEC charges Bitcoin-funded securities dealer and CEO
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SEC halts Ponzi scheme targeting Vietnamese investors
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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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SEC Obtains Preliminary Injunction Against Blockvest LLC and Its Founder for Making Fraudulent Offers of Securities in Reconsideration of Earlier Order
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1/2 SEC ENF Co-Dir Peikin: “By providing investors who purchased securities in these ICOs with the opportunity to be reimbursed and having the issuers register their tokens with the SEC...
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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.”
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SEC Obtains Preliminary Injunction Continuing Freeze of $27 Million in Stock Sales of Purported Cryptocurrency Company Longfin
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1/5 In the event of a federal government shutdown, the SEC will proceed in accordance with the agency’s plan for operating during a shutdown...
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SEC obtains final judgment against former broker for defrauding customers
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SEC halts microcap fraud scheme orchestrated through international accounts
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Altaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees to Pay $35 Million:
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2/2 Those who use phony tactics to dupe investors out of their savings will be held accountable for false and misleading statements on the internet.”
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Two Alleged Market Manipulators Sentenced in Parallel Criminal Case
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Court Enters Judgment Against Microcap Company and Two Promoters in Pump-And-Dump Scheme, Ordering Each Promoter to Pay Over $4.6 Million
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Hollywood film producer agrees to settle multi-million dollar offering fraud charges
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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
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Statement regarding agreed settlements with Elon Musk and Tesla
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Litigation Release: Jason Napodano, Bilal Basrai and Bryce Stirton
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SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors:
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2/ ...We will continue to hold issuers accountable for such serious breaches of trust to the investing public."
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SEC charges Texas radio host "The Money Doctor," halts Ponzi Scheme targeting elderly investors
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SEC ENF Co-Director Avakian: “The total package of remedies and relief announced today are specifically designed to address the misconduct at issue by strengthening Tesla’s corporate governance and oversight in order to protect investors.”
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Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
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Elon Musk settles SEC fraud charges; Tesla charged with and resolves securities law charge
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2/2... these orders provide a model for companies that have issued tokens in ICOs and seek to comply with the federal securities laws.”
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ICYMI: Accounting Firm and Partner Charged with Audit Failures
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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
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2/2 ... BNY Mellon is the seventh bank or broker being held accountable for improper practices that allowed banks and brokerage firms to profit handsomely while market participants were unaware of how the market was being abused.”
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SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators.
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Issuers of blockchain-based securities must register offers and sales of such securities (unless exempt)
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Capital raising through blockchain requires compliance with federal securities laws
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#SEC
Public Finance Abuse Unit Chief Gaunt: “Financial difficulties are no excuse for engaging in accounting misconduct and concealing critical information from investors.”
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Global Securities Pricing Service to Pay $8 Million for Compliance Failures:
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SEC ENF Co-Dir Avakian: “EtherDelta had both the user interface and underlying functionality of an online national securities exchange and was required to register with the SEC or qualify for an exemption.”
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Receiver appointed to handle cryptocurrency assets in first-of-its-kind emergency action against an ICO after AriseBank allegedly misleads investors about SEC registration, FDIC insurance, and background of key executives.
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3/5...Should a shutdown occur and continue beyond Wednesday, Dec. 26, starting Thursday, Dec. 27 the agency will have only an extremely limited number of staff members available to respond to emergency situations...
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1/2 SEC Enforcement Co-Director Avakian: “Issuers availing themselves of American capital markets must provide investors with accurate and complete information...
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SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accounts
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The SEC also continued to bring actions relating to market manipulation, insider trading, and broker-dealers, with each comprising approximately 10 percent of the overall number of standalone actions, as well as other areas.
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1/2 SEC ENF Co-Director Peikin: “As a result of the settlement, Elon Musk will no longer be Chairman of Tesla, Tesla’s board will adopt important reforms —including an obligation to oversee Musk’s communications with investors—and both will pay financial penalties...
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1/2 SEC OIA Director Fox: “Fraudsters must not be allowed to profit at the expense of retail investors by concealing the true nature of their interests and activities and trading through foreign countries...
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SEC Charges Network Marketer with Masterminding a Multimillion Dollar Ponzi and Pyramid Scheme
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SEC charges nine individuals and companies for roles in microcap scheme
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2/2 ...This action demonstrates the resolve of the SEC in pursuing fraudsters who use elaborate financing schemes to engage in securities fraud.”
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Court Orders Wife of Accused Ponzi Schemer to Pay Millions of Dollars
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SEC Charges Investment Adviser With Running $3.9 Million Fraud
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SEC obtains permanent injunction against CEO in penny stock fraud scheme
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Statement from Chairman Jay Clayton Regarding Offers of Settlement
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Company halts ICO after SEC raises registration concerns
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SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
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1/2 SEC ENF Co-Dir Avakian: “We have made it clear that companies that issue securities through ICOs are required to comply with existing statutes and rules governing the registration of securities...
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SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme
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SEC’s action against JPMorgan is the eighth action against a bank or broker, and fourth action against a depositary bank, resulting from the agency’s ongoing investigation into abusive ADR pre-release practices
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SEC stops fraudulent ICO that falsely claimed SEC approval
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Settlement requires Musk to step down as Tesla’s chairman; Tesla to appoint additional independent directors; Tesla and Musk agree to pay $40 million in penalties
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SEC charges Walgreens and two former executives with misleading investors about forecasted earnings goal
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Principal of Mississippi Company Who Ran Multimillion Dollar Ponzi Scheme Sentenced to 19.5 Years Imprisonment in Parallel Criminal Action
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Audit firm and partners suspended for audit failures
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SEC suspends trading in company for making false cryptocurrency-related claims about SEC regulation and registration
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SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme
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1/2 SEC FCPA Unit Chief Cain: “The company engaged in egregious misconduct for nearly a decade, secretly funneling hundreds of millions of dollars to a corrupt official....
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SEC ENF Assoc. Dir. Hodgman: “As this case shows, we are committed to holding corporate executives accountable when they are in the best position to ensure that disclosures are accurate and not misleading.”
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SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accounts
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Litigation Release: One or More Unknown Traders in the Securities of Bioverativ, Inc. - SEC Freezes Assets Behind Alleged Insider Trading
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