‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC.gov | SEC Warns of Government Impersonators
The alert includes an audio recording of an actual imposter making a fraudulent pitch, excerpted below: “…I’m a senior compliance officer with the Securities and Exchange Commission… I am confirming a buy order from Mr. [REDACTED], who is a portfolio manager of [REDACTED]…in accordance to the regulations that are set forth by the Securities and […]
Beware the ‘SEC Impersonator’ Scams Targeting Your Money | Compliance Week
You might not think that fraudsters impersonating the SEC would be a significant or ongoing problem but the volume of the SEC’s “Investor Alerts” on this topic would seem to suggest otherwise. On August 5, 2015, the SEC issued the latest update in a series of Investor Alerts it has released entitled, “SEC Warns of […]