Investigative Summaries, Press Releases and Reports

2026| 2025| 2024| 2023|2022 | 2021| 2020| 2019| 2018| 2017| 2016 | 2015 | 2014

• 2026
  • June 22, 2026
    • Fraud Alert June 2026
  • May 21, 2026
    • Suspect arrested for SEC regional office burglary during lapse in appropriations and corresponding government shutdown.
  • March 30, 2026
    • SEC Information Technology supervisor resigned, and two employees were suspended following investigation into whether they golfed during duty hours without taking leave
  • March 25, 2026
    • Former SEC Attorney recorded a whistleblower interview without the knowledge of the participants and used an unapproved artificial intelligence service to transcribe the recording
  • February 5, 2026
    • Immigration Attorney Sentenced to 30 Months for Visa Fraud and Obstruction of Justice
• 2025
  • November 14, 2025
    • Hong Kong Businessman Indicted for Role in Filing False SEC Investment Adviser Forms on behalf of Sham Entities Used in Ramp-and-Dump Scheme
  • September 30, 2025
    • Former SEC Contract Specialist falsely claimed Virginia residency while living in and working from Florida, collecting higher locality pay for years
  • September 12, 2025
    • An SEC Financial Economist failed to report as required by ethics regulations and misused his position in an immigration matter
    • Co-CEO of Chinese publicly traded technology company and financial advisor indicted for over $100M securities fraud scheme
  • August 29, 2025
    • Anderson County Man Sentenced to 13 Years for 13M Ponzi Scheme and Cyberstalking
  • July 16, 2025
    • An SEC attorney falsely certified more than a dozen times having an active state bar license in good standing
  • May 16, 2025
    • Alabama Man Sentenced to 14 Months SEC X Hack
    • OIG did not find that SEC contractor used quid pro quo schemes, improper relationships with SEC employees, or performed inherently governmental duties, nor did the contractor have access to procurement sensitive information not available to other bidders as alleged
  • May 2, 2025
    • Former Division of Enforcement attorney resigned while under investigation for sending emails with sensitive & nonpublic SEC information to self and others via personal email; sending political emails; and using SEC resources for personal use
  • April 30, 2025
    • Former Division Director failed to file ethics form but did not violate other ethics rules as alleged
  • March 25, 2025
    • Federal Law Enforcement in Chicago Seizes $214 Million in Alleged “Pump and Dump” Investment Fraud Investigation; Seven Defendants Indicted
    • Federal Jury Convicts Joshua Aaron Holmes For Conspiracy To Commit Mail And Wire Fraud
  • March 7, 2025
    • San Jose Immigration Lawyer Extradited From The Kyrgyz Republic To Face Charges Of Large-Scale Visa Fraud
  • February 10, 2025
    • Guilty Plea in Hacking of the SEC’s X Account
• 2024
  • December 15, 2024
    • FBI Arrests Alabama Man in the January 2024 SEC X Hack that Spiked the Value of Bitcoin Commission
    • Data Center Company CEO Indicted for Major Fraud and Making False Statements to the U.S. Securities and Exchange Commission
    • Mastermind of Multimillion-Dollar Penny-Stock Scam Indicted for Fraud and Obstruction
    • CEO of Publicly Traded Company Arrested in Securities Fraud Scheme
• 2023
  • May 1, 2023
    • Final Management Letter: Review of Upward Mobility Program
• 2022
  • August 29, 2022
    • Findings Related to the Former SEC Ombudsman
  • August 25, 2022
    • SEC OIG Interim Body Worn Camera Policy
• 2021
  • August 26, 2021
    • Review for Racial and Ethnic Disparities in the SEC’s Issuance of Corrective and Disciplinary Actions from January 1, 2017 – August 31, 2020
  • July 8, 2021
    • DOJ Press Release: Disbarred Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme
• 2020
  • December 2, 2020
    • DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme
  • September 30, 2020
    • SEC OIG 2020 FEVS Announcement
  • September 25, 2020
    • Findings of Alleged Fraudulent SEC Rulemaking Comment Letters
  • April 2, 2020
    • DOJ Press Release: United States Attorney for the District of Columbia Timothy J. Shea Announces Launch of Metropolitan Area COVID-19 Anti-Fraud Task Force
  • February 28, 2020
    • DOJ Press Release: Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding
  • February 20, 2020
    • DOJ Press Release: Biotech Company Employee Sentenced for Securities Fraud
  • February 18, 2020
    • DOJ Press Release: Biotech Company CEO Sentenced for Securities Fraud and Obstruction
• 2019
  • December 2, 2019
    • DOJ Press Release: Former Chief Executive Officer Of Publicly Traded Brand Management Company Charged With Accounting Fraud And Obstruction Of Justice
  • October 28, 2019
    • DOJ Press Release: Biotech Company CEO Convicted of Securities Fraud and Obstruction
  • March 26, 2019
    • DOJ Press Release: Owner of South Bay Law Firm and Office Manager Charged with Committing Large-Scale Immigration Visa Fraud
  • February 8, 2019
    • DOJ Press Release: Biotech Company Employee Pleads Guilty to Securities Fraud Charges
• 2018
  • December 12, 2018
    • DOJ Press Release: Pennsylvania Man Pleads Guilty to International Email Impersonation and Fraud Scam
  • October 2, 2018
    • DOJ Press Release: Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission
  • August 18, 2018
    • DOJ Press Release: Dominican National Sentenced for International E-Mail Impersonation and Fraud Scam
• 2017
  • August 24, 2017
    • Review of Certain Actions Taken by Commissioner Michael Piwowar as Acting Chairman
  • May 19, 2017
    • DOJ Press Release: Virginia Man Arrested And Charged In Manhattan Federal Court With $100 Million Market Manipulation Scheme Involving Fitbit Stock
  • May 9, 2017
    • DOJ Press Release: Former SEC Employee Pleads Guilty to Making False Statements Designed to Conceal Prohibited Trading
  • April 20, 2017
    • DOJ Press Release: Connecticut Financial Advisor Sentenced for Obstructing SEC Investigation
• 2016
  • January 21, 2016
    • Final Report of Investigation, Administrative Law Judges (PDF), 15-ALJ-0482-I
• 2015
  • August 7, 2015
    • Interim Report of Investigation, Administrative Law Judges (PDF), 15-ALJ-0482-I
• 2014
  • March 5, 2014
    • Unauthorized Disclosure of Nonpublic Information From Executive Session Commission Meeting (PDF), OIG-601