Tag: SEC

SEC Becomes First Federal Agency to Ask DC Employees to Telework Over Potential Coronavirus Case

March 10, 2020 10:42 AM

The Securities and Exchange Commission is asking all personnel based at its headquarters to work from home due to an employee who may have coronavirus, becoming the first federal agency to ask its Washington employees to stay home.

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Lawmakers Want Investigation of Commerce Secretary for Possible Insider Trading Violation

June 29, 2018 10:22 AM
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!

August 22, 2017 3:23 PM
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

August 10, 2017 12:12 PM
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

August 1, 2017 11:52 AM
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

August 1, 2017 11:18 AM

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

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Questions You Should Ask About Your Investments

July 9, 2014 7:03 PM

The Securities and Exchange Commission offers a brochure that is helpful when choosing a financial advisor as well as helping you understand your investments.

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A Dispute That Could Only Arise Between Public Employees and a Governmental Agency

Federal agencies and federal employee unions have their own agendas with the result being disputes going on for years that seem to defy logic. The appeals court calls this case the “sort of dispute that could only arise between public employees and a governmental agency.”

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