SEC Enforcement
@SEC_Enforcement
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SEC’s Division of Enforcement. Submit tips and complaints: https://t.co/m6WtS6RMEx. Disclaimer: https://t.co/qfwx4ibWHg
Joined May 2011
RT @SEC_News: SEC charges former executives of San Francisco Bay area company with accounting violations
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RT @SEC_News: SEC charges Vuuzle Media Corp. and affiliated individuals in connection with $14 million offering fraud .
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SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device:
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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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General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations:
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Global Securities Pricing Service to Pay $8 Million for Compliance Failures:
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SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors:
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RT @SECEnfDirectors: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 -
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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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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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SEC charges former Georgia state legislator with defrauding investors in Ponzi scheme
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SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators.
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SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims
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RT @SECEnfDirectors: Co-Director Steven Peikin speaks about Enforcement’s response to the ongoing COVID-19 crisis at the Securities Enforce….
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RT @SECEnfDirectors: SEC files first substantive fraud charges relating to the COVID-19 crisis.
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RT @SEC_News: .@SEC_Enforcement Co-directors warn investors of new financial fraud opportunities created by #COVID19 and share what they're….
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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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RT @Philly_SEC: SEC Philly Director Kelly Gibson will be joining @AARPMD and @USAO_MD on a tele-town hall at noon on Apr 8 to help older Am….
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RT @NewYork_SEC: Zoom Technologies (ticker ZOOM) is NOT the similarly-named popular video communications company. Today the SEC suspended….
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