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
SEC charges former executives of San Francisco Bay area company with accounting violations
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SEC charges three individuals in digital asset fraud
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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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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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Co-Director Steven Peikin speaks about Enforcement’s response to the ongoing COVID-19 crisis at the Securities Enforcement Forum West 2020.
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SEC files first substantive fraud charges relating to the COVID-19 crisis.
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.@SEC_Enforcement Co-directors warn investors of new financial fraud opportunities created by #COVID19 and share what they're doing to help prevent them.
npr.org
The leaders of the Securities and Exchange Commission's enforcement division say they are taking aggressive action to combat potential investment fraud related to the COVID-19 pandemic.
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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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Zoom Technologies (ticker ZOOM) is NOT the similarly-named popular video communications company. Today the SEC suspended trading in the securities of Zoom Technologies. https://t.co/40zAjWHmY2
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