Tag: SEC

Lawmakers Want Investigation of Commerce Secretary for Possible Insider Trading Violation

By on June 29, 2018 in Agency News with 0 Comments
Lawmakers Want Investigation of Commerce Secretary for Possible Insider Trading Violation

Several lawmakers want the SEC to investigate the stock trading activities of Commerce Secretary Wilbur Ross.

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Investment Fraud Warning for Federal Employees!

By on August 22, 2017 in Retirement with 0 Comments
Investment Fraud Warning for Federal Employees!

Recent SEC warnings about fraudsters targeting federal employees may leave you feeling apprehensive about working with financial advisors. These are some tips on how to spot scam artists.

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Details of SEC Complaint Against Brokers Allegedly Targeting TSP Investors

By on August 10, 2017 in Retirement with 0 Comments
Details of SEC Complaint Against Brokers Allegedly Targeting TSP Investors

The SEC recently charged four Atlanta area brokers with fraudulently targeting TSP investors. These are details of the formal complaint that was filed.

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SEC Issues Alert to Federal Employees

By on August 1, 2017 in Retirement with 0 Comments
SEC Issues Alert to Federal Employees

The SEC has issued a warning to current and former federal employees about investment scam artists who may pretend to be affiliated with federal agencies.

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SEC Charges Former Brokers With Targeting Federal Retirees

By on August 1, 2017 in Retirement with 0 Comments
SEC Charges Former Brokers With Targeting Federal Retirees

The SEC charged four former Atlanta area brokers with fraud for targeting federal retirees.

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