SEC whistleblower Award Archives

Christopher R. Esposito Charged with Securities Fraud

January 12, 2022

Five Russians Charged in Hacking and Illegal Trading Scheme

December 27, 2021

More Individuals Charged in Billion Dollar Penny Stock Pump and Dump/Money Laundering Operation

December 12, 2021

SEC Charges Robert Gandy and Others in 3(a)(10) Penny Stock Scheme

December 6, 2021

Steven Gallagher Arrested And Charged With Securities Fraud For Using His Twitter Account To Operate A Pump-And-Dump Scheme

October 30, 2021

Federal Jury Convicts Defendants In NuTech Energy Resources Securities Fraud

October 15, 2021

SEC Charges Webcast Host Mark Melnick for His Role in Market Manipulation Scheme

October 9, 2021

SEC Obtains Emergency Relief Against Richard Xia Charged with EB-5 Securities Fraud

October 8, 2021

SEC Sues Carebourn Capital, L.P. and Its Managing Partner Chip Rice for Acting as an Unregistered Securities Dealer

October 3, 2021

SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”

September 27, 2021

SEC Surpasses $1 Billion in Total Whistleblower Awards

September 18, 2021

SEC Charges Attorney Frederick Bauman with Participation in IIIegal, Unregistered Securities Offerings

September 12, 2021

SEC Files Subpoena Enforcement Action Against Alexander Kon

September 2, 2021

A Tale of Two Unregistered Dealers – Toxic Convertible Note Lenders Under SEC Scrutiny

August 31, 2021

SEC Whistleblower – Dodd Frank Revisions to be Proposed

August 19, 2021

SEC Charges Unregistered Dealers Alexander Dillon, Cosmin Panait, Larry Adams and Salvador Rosillo

August 14, 2021

SEC Obtains Default Judgment in Edgar Hacking Case

August 7, 2021

Understanding the September 28 Amended Rule 15c2-11 Deadline

August 5, 2021

SEC charges former Nikola CEO with securities fraud

August 1, 2021

SEC Charges Charlie Abujudeh in Microcap Fraud Scheme Targeting Retail Investors

July 24, 2021

SEC charges Marlon Muller with stock manipulation

July 18, 2021

TD Ameritrade puts out list of liquidation only stocks ahead of September 28, 2021 Rule 15c-211 amendments

July 17, 2021

SEC charges former CEO and CFO of FTE Networks, Inc with accounting fraud

July 15, 2021

SEC Suspends Trading in 55 Abandoned Issuers in Sweeping Order

July 12, 2021

SEC Charges Three Individuals with Insider Trading

July 11, 2021

SEC sanctions Elaine A. Dowling and Harold P. Gewerter and charges Shawn Hackman in scheme to skirt a previous ban

July 5, 2021

SEC Charges Goldman Small Cap Research and its Owner for Failing to Disclose Compensation

July 1, 2021

SEC Suspends Trading in Enerkon Solar International Inc (ENKS)

June 26, 2021

SEC Charges Mark Miller for Hijacking Inactive Penny Stock Companies to use for Pump & Dump Schemes

June 20, 2021

On Friday, June 18th, the SEC filed a Complaint in the United States District Court for the District of Minnesota against Minnesota…

Senators Leahy and Grassley Introduce EB-5 Investor Visa Integrity Reform Bill

June 12, 2021

Senator Patrick Leahy (D-Vt.), a senior member and former chairman of the Judiciary Committee, and Senator Chuck Grassley (R-Iowa), Ranking Member of…