Investigative Summaries, Press Releases and Reports

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

• 2025
  • August 29, 2025
    • Anderson County Man Sentenced to 13 Years for 13M Ponzi Scheme and Cyberstalking
  • July 16, 2025
    • SEC Investigative Summary 25-0015
  • May 16, 2025
    • Alabama Man Sentenced to 14 Months SEC X Hack
    • Investigative Summary 24-0008
  • May 2, 2025
    • Investigative Summary 24-0001
  • April 30, 2025
    • Investigative Summary 22-0028
  • 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