News from the Los Angeles Regional Office

May 28, 2024
Date Title
July 11, 2023 SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
September 27, 2023 SEC Charges Three Southern California Siblings with Insider Trading
August 16, 2023 Investor Alert re: Hawaii Wildfires
July 28, 2023 SEC Charges Real Estate Investment Fund with Offering Fraud Targeting Investors in Chinese-Speaking Communities
July 11, 2023 SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
July 3, 2023 SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability
June 16, 2023 SEC Charges PIMCO for Disclosure and Policies and Procedures Failures
May 23, 2023 SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud
May 15, 2023 SEC Charges Microcap Company and Its Executives with Fraud
May 5, 2023 SEC Charges San Diego-Based Investment Adviser for Running Fraudulent "Cherry Picking" Scheme
May 2, 2023 SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud
March 23, 2023 SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players
March 6, 2023 SEC Charges Rio Tinto plc with Bribery Controls Failures
March 1, 2023 SEC Charges Hawaii Investment Adviser with Running a Ponzi Scheme
January 24, 2023 SEC charges investment club manager for misappropriating funds
January 19, 2023 SEC charges four individuals for their roles in a prime bank fraud
January 12, 2023 SEC Charges Los Angeles Individual with Perpetrating a $47 Million Affinity Fraud Targeting Members of the Orthodox Jewish Community
March 1, 2022 SEC Charges Self-Described “Securities Compliance” Attorney with Fraud in Planned Pump-and-Dump Scheme
February 17, 2022 SEC Charges California Company and Promoters Engaged in Pump-And-Dump Scheme Involving Covid-19 Claims
February 7, 2022 SEC charges San Pedro, California-based social media stock promoter “@BigMoneyMike6” with penny stock fraud.
December 9, 2021 SEC Charges Santa Monica-Based Tech Company Employee and His Brother-in-Law with Insider Trading
November 18, 2021 SEC charges California-based promotor with conducting cryptocurrency investment scams
October 29, 2021 SEC charges Newport Beach company and its principals with operating a $13.5 million Ponzi-like scheme
October 6, 2021 SEC obtains emergency relief freezing assets of a Ladera Ranch-based individual and halting an alleged ongoing investment advisory fraud
October 1, 2021 SEC charges Laguna Niguel-based investment adviser, affiliated broker-dealer, and their president for false and misleading statements and omissions

Last Reviewed or Updated: May 28, 2024