sec.gov - 3/2/2009
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The Securities and Exchange Commission today is warning investors and financial services firms about con-artists who may use the names of actual SEC employees to mislead potential victims. The agency also is providing information to help potential victims protect themselves from SEC impersonators.
sec.gov - 3/9/2009
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sec.gov —
FOR IMMEDIATE RELEASE 2009-51 Washington, D.C., March 9,
2009— The Securities and Exchange Commission today charged a...
money manager with offices in New York and Rhode Island for falsely creating a billion-dollar client in order to gain credibility and ...
(more)
Press Release: SEC Charges Investment Adviser For ...
tradersmagazine.com - 3/5/2009
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tradersmagazine.com —
Duncan Niederauer would like to see the SEC
reinstate the uptick rule for short sales, even if...
it's mainly for the sake of bucking up "investor psychology."
(more)
NYSE Chief Renews Call for Uptick Rule
time.com - 3/1/2009
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time.com —
Historians looking for an early sign that the
worst financial crisis since the Great Depression might be...
deeper than expected could do worse than listen in on a predawn teleconference one Friday last spring. Top Treasury and Federal Reserve Bank ...
(more)
The Inside Story on the Breakdown at the
SEC
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“Impersonation of SEC Examiner” Scam is Back
Securities Docket —
... As if the SEC doesn’t have enough to deal with, it must also now contend with con artists using the names of actual SEC employees to attempt to gain confidential information and mislead potential victims. The SEC issued a press release today to warn the public about this scam. As I discuss in ...
Beyond weird: a fake filing in penny stock land…
footnoted.org —
We don’t normally spend much time looking at filings for penny stocks. Indeed, we usually draw the line at around $200 million in market cap. But yesterday, a journalist in Texas sent us a link to this filing from Firstplus Financial Group (FPFX) that was so odd, we just couldn’t help ourselves. Here’s the filing in its entirety:
A Form 8-K purportedly filed on behalf of FirstPlus Financial Group, Inc. (the “Company”) on February 9, 2009 was filed without the Company’s knowledge and was not an authorized filing on behalf of the Company. The Company cautions that statements in the ...
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»»REINVIGORATING SEC ...
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