Investigations // Cases // News

Commerzbank AG To Pay $12 Million For Swap Dealing Violations

/

Date09 Nov 2018

/

Comment0

EtherDelta Founder Charged With Operating Unregistered Exchange

/

Date08 Nov 2018

/

Comment0

Citibank to Pay More Than $38 Million to Settle Charges

/

Date07 Nov 2018

/

Comment0

ITG Inc. Charged With Misleading Dark Pool Subscribers

/

Date07 Nov 2018

/

Comment0

Simple Health Plans Collected More Than $100 Million With Deceptive Scheme

/

Date06 Nov 2018

/

Comment0

Wells Fargo Bank, N.A. – “Tens of Thousands of Harassing Calls” Alleged

/

Date26 Oct 2018

/

Comment0

Lyft, Inc. – Alleged Unsolicited SMS or MMS Text Messages

/

Date26 Oct 2018

/

Comment0

Mercedes-Benz Financial Services USA, LLC – Alleged TCPA Violations

/

Date22 Oct 2018

/

Comment0

Class Action Filed Against Aaron’s, Inc. – Alleged Unsolicited Calls

/

Date22 Oct 2018

/

Comment0

Get-Rich-With-Amazon Scheme Marketer Settles with FTC

/

Date11 Oct 2018

/

Comment0

Fraudulent ICO Which Claimed SEC Approval Stopped

/

Date11 Oct 2018

/

Comment0

Have You Purchased Epson Printer Cartridges?

/

Date08 Oct 2018

/

Comment0

Microcap Fraud Scheme Stopped by SEC

/

Date05 Oct 2018

/

Comment0

SEC Actions- Salix, Walgreens, & LendingClub Asset Management

/

Date01 Oct 2018

/

Comment0

Musk Settles SEC Fraud Charges; Tesla Charged, But Resolves Law Charge

/

Date30 Sep 2018

/

Comment0

Millions Returned to Consumers Harmed by Payday Lending Scheme

/

Date28 Sep 2018

/

Comment0

Bitcoin-Funded Securities Dealer, CEO Charged

/

Date28 Sep 2018

/

Comment0

Elon Musk Charged with Securities Fraud for Misleading Tweets

/

Date28 Sep 2018

/

Comment0

Iowa Introducing Broker, Principals to Pay $11.9 Million in Restitution

/

Date28 Sep 2018

/

Comment0

Broker-Dealer Charged With Deficient Cybersecurity Procedures

/

Date26 Sep 2018

/

Comment0

Approximately $4 Million Awarded by SEC to Whistleblower

/

Date25 Sep 2018

/

Comment0

FTC Sending 22,671 Refund Checks to Consumers

/

Date25 Sep 2018

/

Comment0

Subway Franchisee Advertising Fund Trust Text Message Class Action

/

Date25 Sep 2018

/

Comment0

FTC Settlements Stop Debt Collection Scheme

/

Date21 Sep 2018

/

Comment0

New Law Allows Consumer Credit Freezes and Year-Long Fraud Alerts

/

Date21 Sep 2018

/

Comment0

BBSI and Former CFO Charged with Accounting Fraud

/

Date20 Sep 2018

/

Comment0

CEO And Former CFO To Pay Millions in Penalties to Settle Charges

/

Date19 Sep 2018

/

Comment0

SEC Awards Approximately $1.5 Million to Whistleblower

/

Date19 Sep 2018

/

Comment0

$345 Million Ponzi-Like Scheme Shut Down by SEC

/

Date19 Sep 2018

/

Comment0

United Technologies Charged With Violating the FCPA

/

Date12 Sep 2018

/

Comment0

USA Technologies, Inc. Investigation on Behalf of USAT Investors

/

Date11 Sep 2018

/

Comment0

Cannabis Investment Fund and Founder Charged in Fraudulent Scheme

/

Date07 Sep 2018

/

Comment0

More Than $54 Million Awarded to SEC Whistleblowers

/

Date07 Sep 2018

/

Comment0

Fraudulent Debt Collectors Banned from Debt Collection Business

/

Date07 Sep 2018

/

Comment0

Telecommunications Expense Management Company Charged

/

Date04 Sep 2018

/

Comment0

SEC Charges Sonofi With FCPA Violations

/

Date04 Sep 2018

/

Comment0

Moody’s Charged – Internal Controls Failures & Ratings Symbols Deficiencies

/

Date28 Aug 2018

/

Comment0

Transamerica Entities to Pay $97 Million to Investors

/

Date27 Aug 2018

/

Comment0

CFTC Wins Trial Against Virtual Currency Fraudster

/

Date24 Aug 2018

/

Comment0

Ameriprise Financial Services Charged by SEC

/

Date21 Aug 2018

/

Comment0

Former Online Marketing Company Executives Charged

/

Date21 Aug 2018

/

Comment0

SEC Charges Technology Fund Adviser in Fraud Scheme

/

Date21 Aug 2018

/

Comment0

Unregistered Brokers Who Sold Woodbridge Securities Charged by SEC

/

Date20 Aug 2018

/

Comment0

Hologic Stock Drop – Suspension of Marketing of Vitalia TempSure Device

/

Date13 Aug 2018

/

Comment0

Maxar Technologies Securities Class Action Lawsuit Investigation

/

Date07 Aug 2018

/

Comment0

SEC Issues Investor Bulletin Providing Basic Information About Index Funds

/

Date07 Aug 2018

/

Comment0

Keller Williams Realty Inc. Robocalls Class Action Lawsuit

/

Date07 Aug 2018

/

Comment0

List of Firms Using Inaccurate Information to Solicit Investors Updated

/

Date06 Aug 2018

/

Comment0

Kohl’s Text Messages Subject of TCPA Class Action

/

Date06 Aug 2018

/

Comment0

Impinj, Inc. Investor Alert – PI Securities Investigation

/

Date06 Aug 2018

/

Comment0

Mizuho Securities Charged for Failure to Safeguard Customer Information

/

Date23 Jul 2018

/

Comment0

Deutsche Bank to Pay Approximately $75 Million to Settle Charges

/

Date20 Jul 2018

/

Comment0

$30 Million Awarded to Whistleblower By CFTC

/

Date12 Jul 2018

/

Comment0

SEC Votes to Propose Amendments to Whistleblower Program Rules

/

Date28 Jun 2018

/

Comment0

FIZZ Investor Alert – National Beverage Corp. Stock Drops

/

Date27 Jun 2018

/

Comment0

Merrill Lynch Charged with Misleading Customers – $42MM Penalty

/

Date19 Jun 2018

/

Comment0

Get-Rich-With-Amazon Scheme Operators Settle With the FTC

/

Date19 Jun 2018

/

Comment0

Aaron’s Inc. Prerecorded Messages and Automated Calls Alleged

/

Date15 Jun 2018

/

Comment0

Aegean Marine Petroleum Network Stock Drops More Than 57%

/

Date05 Jun 2018

/

Comment0

Transworld Systems Debt Collection Robocalls Alleged

/

Date04 Jun 2018

/

Comment0

Is Your Broker Selling Investments Approved By the Broker’s Firm?

/

Date31 May 2018

/

Comment0

Citibank Debt Collection Calls – TCPA Violations Alleged

/

Date29 May 2018

/

Comment0

Rockwell Medical CEO Terminated – RMTI Stock Trading Halted

/

Date24 May 2018

/

Comment0

University Retirement Plans – Are You Being Charged Excessive Fees?

/

Date18 May 2018

/

Comment0

Equifax Sued Over Inaccurate Public Records Data in Credit Reports

/

Date17 May 2018

/

Comment0

Class Action Lawsuit Filed Against Prothena Corporation

/

Date17 May 2018

/

Comment0

Class Action Filed Against InnerWorkings; INWK To Restate Financials

/

Date11 May 2018

/

Comment0

Symantec Announces Investigation on Concerns of Former Employee

/

Date11 May 2018

/

Comment0

Unsolicited Faxes Class Action Filed Against Spreemo & The Hartford

/

Date10 May 2018

/

Comment0

Flex Stock Drops More Than 21% – Flex Securities Investigation

/

Date08 May 2018

/

Comment0

Knorr-Bremse, Knorr Brake, Wabtec, Faiveley Transport Lawsuit

/

Date02 May 2018

/

Comment0

Investor Alert: “SALI” Investor Protection Online Search Tool

/

Date02 May 2018

/

Comment0

Credit One Bank Debt Collection Calls

/

Date02 May 2018

/

Comment0

Panasonic To Pay $143+ Million to Resolve FCPA, Accounting Violations

/

Date01 May 2018

/

Comment0

Liberty Student Loan Forgiveness Prerecorded Voicemail

/

Date01 May 2018

/

Comment0

Wells Fargo 401(k) Practices Subject of Labor Department Investigation

/

Date26 Apr 2018

/

Comment0

LendingClub’s Alleged Misleading “No Hidden Fees” Claims; Stock Drops

/

Date26 Apr 2018

/

Comment0

Prothena Shareholder Alert – PRTA Stock Drops Almost 70%

/

Date24 Apr 2018

/

Comment0

Important Things to Know About Higher Education Overtime Pay

/

Date17 Apr 2018

/

Comment0

Knorr, Wabtec to End Unlawful Employee “No-Poach” Agreements

/

Date13 Apr 2018

/

Comment0

SEC Enforcement Actions; $2.1 Million Whistleblower Award

/

Date13 Apr 2018

/

Comment0

Warranty Coverage and the Use of Specified Parts or Services

/

Date11 Apr 2018

/

Comment0

Multimillion Dollar Ponzi Scheme Targeting Seniors; SEC Charges

/

Date09 Apr 2018

/

Comment0

Senior Investors Beware of Ponzi Schemes; Ponzi Warning Signs

/

Date09 Apr 2018

/

Comment0

Whistleblower Awarded; Information First Reported to Another Agency

/

Date06 Apr 2018

/

Comment0

Longfin – SEC’s Emergency Freeze of $27 Million in Stock Sales

/

Date06 Apr 2018

/

Comment0

$12 Million to Harmed Investors – Investment Advisers Settle Charges

/

Date06 Apr 2018

/

Comment0

Panera Bread Leaked Customer Data for Eight Months on Its Website

/

Date04 Apr 2018

/

Comment0

“Thank you for calling American Express . . .” Alleged Unauthorized Calls

/

Date04 Apr 2018

/

Comment0

Initial Coin Offering Scheme That Raised $32MM Stopped by SEC

/

Date03 Apr 2018

/

Comment0

Important Things to Know About The SEC’s Whistleblower Program

/

Date03 Apr 2018

/

Comment0

Fintech Company Founder Charged with Scheme to Defraud Investors

/

Date02 Apr 2018

/

Comment0

Prominent Pastor, Financial Planner Charged by SEC

/

Date02 Apr 2018

/

Comment0

Data Breach – Saks Fifth Ave., Saks OFF 5th, Lord & Taylor

/

Date01 Apr 2018

/

Comment0

Under Armour Data Breach Impacts 150 Million MyFitnessPal App Users

/

Date29 Mar 2018

/

Comment0

Barclays Agrees to Resolve Fraud Claims and Pay $2 Billion in Penalties

/

Date29 Mar 2018

/

Comment0

Cross River Bank & Freedom Financial Asset Management

/

Date29 Mar 2018

/

Comment0

Gold’s Gym Text Messages Lawsuit

/

Date28 Mar 2018

/

Comment0

Gold’s Gym – Alleged Unsolicited Text Messages Class Action

/

Date28 Mar 2018

/

Comment0

Maxwell Technologies Charged with Prematurely Recognizing Revenue

/

Date27 Mar 2018

/

Comment0

Recidivist Telemarketer Charged for Millions of Illegal Calls

/

Date26 Mar 2018

/

Comment0

Deceptive Business Opportunity Scheme Stopped

/

Date24 Mar 2018

/

Comment0

Tip Top Capital Inc. – Alleged TCPA Violations

/

Date23 Mar 2018

/

Comment0

Future Now Energy, LLC – Alleged Unauthorized Automated Calls

/

Date23 Mar 2018

/

Comment0

A10 Networks Delays Filing Its Form 10-K; Class Action Filed

/

Date23 Mar 2018

/

Comment0

Operators of Scheme to Defraud Retail Investors Out of Millions Charged

/

Date23 Mar 2018

/

Comment0

Abusive Debt Collectors Banned from Debt Collection Business

/

Date22 Mar 2018

/

Comment0

Orbitz Data Breach (880,000 Payment Cards Affected)

/

Date21 Mar 2018

/

Comment0

FTC Mailing Checks to Consumers (36,830 Checks Totaling $10,158,601)

/

Date20 Mar 2018

/

Comment0

Promoters of Deceptive Cryptocurrency Schemes Shut Down

/

Date20 Mar 2018

/

Comment0

Broker-Dealer Illegally Placed More Than $25 Million of Securities at Risk

/

Date19 Mar 2018

/

Comment0

Over 117 Million Illegal Telemarketing Calls to Consumers

/

Date19 Mar 2018

/

Comment0

Investors of VelocityShares™ Daily Inverse VIX Short-Term ETNs (XIV)

/

Date16 Mar 2018

/

Comment0

VelocityShares™ Daily Inverse VIX Short-Term ETNs (“XIV”) Alert

/

Date15 Mar 2018

/

Comment0

CEO Elizabeth Holmes and Ramesh Balwani Charged with Fraud

/

Date15 Mar 2018

/

Comment0

Cboe Volatility Index® (VIX®) – VIX Futures & Options Contracts Traders

/

Date13 Mar 2018

/

Comment0

Here’s What the SEC Says About Online Digital Trading Platforms

/

Date13 Mar 2018

/

Comment0

1-800-Flowers Call Center Workers – Class and Collective Wages Lawsuit

/

Date13 Mar 2018

/

Comment0

America’s JobLink Alliance Data Breach Investigation (10 States Affected)

/

Date12 Mar 2018

/

Comment0

Applebee’s Payment Card Malware Attack (166 Applebee’s in 15 States)

/

Date10 Mar 2018

/

Comment0

Ace Industrial Supply Telemarketing Calls – TCPA Violations Alleged

/

Date09 Mar 2018

/

Comment0

DirecTV Class Action – Alleged Unauthorized Credit History Inquiries

/

Date09 Mar 2018

/

Comment0

BioScrip Stock Price Drop (BIOS Closes Down 15.47% on 3/8/2018)

/

Date08 Mar 2018

/

Comment0

Merrill’s Gatekeeping Failures in the Unregistered Sales of Securities

/

Date08 Mar 2018

/

Comment0

Debt Collection Calls Lawsuit – Navient & Pioneer Credit Recovery

/

Date08 Mar 2018

/

Comment0

The Bancorp Bank Settles with FDIC for Unfair and Deceptive Practices

/

Date07 Mar 2018

/

Comment0

Preliminary Injunction Issued Regarding Virtual Currency Scheme

/

Date07 Mar 2018

/

Comment0

Grupo Televisa ADR Shareholder Alert: Class Action Filed

/

Date06 Mar 2018

/

Comment0

Build A Dream Telemarketing Calls Class Action Lawsuit

/

Date05 Mar 2018

/

Comment0

WageWorks Announces Delayed Annual Report; WAGE Stock Drops

/

Date05 Mar 2018

/

Comment0

PayPal Settles FTC Charges Over Venmo’s Peer-to-Peer Practices

/

Date04 Mar 2018

/

Comment0

Manipulative Trading in U.S. Microcap Stocks – Charges Announced

/

Date04 Mar 2018

/

Comment0

University of Phoenix Telemarketing Calls Lawsuit

/

Date03 Mar 2018

/

Comment0

Ubiquiti Networks Shareholder Alert – UBNT Class Action Filed

/

Date02 Mar 2018

/

Comment0

SEC Charges Filed to Stop Recidivist’s Fraud Scheme

/

Date02 Mar 2018

/

Comment0

Georgetown University – Alleged Breach of Fiduciary Duties

/

Date01 Mar 2018

/

Comment0

Ameriprise Financial Services, Inc. Settles SEC Charges

/

Date28 Feb 2018

/

Comment0

Loandepot.com Telemarketing Calls – TCPA Class Action Filed

/

Date28 Feb 2018

/

Comment0

Sorrento Therapeutics Shareholder Alert – SRNE Stock Drops

/

Date27 Feb 2018

/

Comment0

National Oilwell Varco’s Alleged Failure to Pay Proper Overtime

/

Date26 Feb 2018

/

Comment0

International Paper Company Production Workers Overtime Lawsuit

/

Date26 Feb 2018

/

Comment0

Franchisee’s Alleged Failure to Pay Panera Bread Assistant Managers OT

/

Date26 Feb 2018

/

Comment0

CFTC Issues First “Pump-and-Dump” Virtual Currency Customer Advisory

/

Date25 Feb 2018

/

Comment0

Alleged Unsolicited Robocalls By United Card Solutions

/

Date25 Feb 2018

/

Comment0

Fortegra Financial, Omega Auto Care – TCPA Robocall Class Action

/

Date24 Feb 2018

/

Comment0

Seven Stars Cloud Group, Inc. Shareholder Alert – SSC Stock Plummets

/

Date23 Feb 2018

/

Comment0

Three Cryptocurrency-Related Companies – SEC Suspends Trading

/

Date23 Feb 2018

/

Comment0

Obalon Therapeutics Shareholder Alert – OBLN Class Action Filed

/

Date23 Feb 2018

/

Comment0

Polaris Industries Telemarketing Robocall Class Action

/

Date23 Feb 2018

/

Comment0

Former Bitcoin-Denominated BitFunder Exchange & Operator Charged

/

Date22 Feb 2018

/

Comment0

Kraton Corporation Shareholder Alert – KRA Stock Price Falls Sharply

/

Date22 Feb 2018

/

Comment0

MiMedx Group, Inc. Shareholder Alert – MDXG Stock Drops Significantly

/

Date20 Feb 2018

/

Comment0

Allied Interstate’s Alleged Automated Debt Collection Calls

/

Date20 Feb 2018

/

Comment0

Money Returned to Consumers in Alleged Payday Loan Scheme

/

Date19 Feb 2018

/

Comment0

LJM Preservation and Growth Fund I – LJMIX Shuts Its Doors

/

Date19 Feb 2018

/

Comment0

Investor Alert: Investments Purchased or Funded By Credit Cards

/

Date15 Feb 2018

/

Comment0

Money Being Returned to Consumers Harmed by Debt Relief Scheme

/

Date14 Feb 2018

/

Comment0

NQ Mobile Shareholder Alert – Class Action Filed Against NQ Mobile Inc.

/

Date13 Feb 2018

/

Comment0

Henry Schein Shareholder Alert – HSIC Stock Price Down Significantly

/

Date13 Feb 2018

/

Comment0

Patterson Companies Shareholder Alert – PDCO Stock Down Significantly

/

Date13 Feb 2018

/

Comment0

Dental Products Distributors Sued by FTC for Alleged Discount Conspiracy

/

Date13 Feb 2018

/

Comment0

Bristol-Myers Squibb Shareholder Alert

/

Date13 Feb 2018

/

Comment0

Deutsche Bank Settles SEC Charges – Misled Customers Will Be Repaid

/

Date12 Feb 2018

/

Comment0

“Junk Fax” Class Action Filed Against Dry Cast Holdings d/b/a DryCast

/

Date11 Feb 2018

/

Comment0

Credit Suisse Securities Financial Advisers Class Action Lawsuit

/

Date11 Feb 2018

/

Comment0

Decatur County General Hospital Hit with Cryptocurrency Malware Attack

/

Date10 Feb 2018

/

Comment0

Super Micro Shareholder Alert – Class Action Filed Against SMCI

/

Date09 Feb 2018

/

Comment0

Ballard Power Shareholder Alert – Class Action Filed Against BLDP

/

Date09 Feb 2018

/

Comment0

Quantum Shareholder Alert – SEC Investigating; QTM Stock Price Drops

/

Date08 Feb 2018

/

Comment0

Business Coaching Scheme Temporarily Stopped By Court Order

/

Date08 Feb 2018

/

Comment0

Credit Suisse Group AG’s VIX Short-Term ETN (XIV) Plummets

/

Date08 Feb 2018

/

Comment0

FTC Charges Student Loan Debt Relief Operation

/

Date07 Feb 2018

/

Comment0

Bellicum Pharmaceuticals Shareholder Alert – Class Action Filed

/

Date07 Feb 2018

/

Comment0

The Collection LLC Luxury Vehicle Retailer Subject of TCPA Action

/

Date07 Feb 2018

/

Comment0

Synchrony Bank Autodial Calls – TCPA Violations Alleged

/

Date07 Feb 2018

/

Comment0

Assured RX LLC Telemarketing Calls Class Action Filed

/

Date07 Feb 2018

/

Comment0

NQ Mobile Shareholder Alert – NQ Share Price Drops

/

Date07 Feb 2018

/

Comment0

ATEN Shareholder Alert – A10 Networks, Inc. Securities Investigation

/

Date06 Feb 2018

/

Comment0

Mortgage Lenders of America Faces Overtime Wages Lawsuit

/

Date06 Feb 2018

/

Comment0

LULU Shareholder Alert: lululemon’s CEO Resigns Over Conduct

/

Date06 Feb 2018

/

Comment0

Telemarketing: “Clarity on Charity” Required by Telemarketing Sales Rule

/

Date06 Feb 2018

/

Comment0

MetLife Shareholder Alert: Class Action Filed Against MetLife, Inc.

/

Date05 Feb 2018

/

Comment0

Guess Shareholder Alert: Guess Stock Price Drops Significantly

/

Date04 Feb 2018

/

Comment0

Super Micro Computer Shareholder Alert: SMCI’s Share Price Drops

/

Date01 Feb 2018

/

Comment0

Bellicum Pharmaceuticals, Inc. BPX-501 Studies Placed on Hold

/

Date31 Jan 2018

/

Comment0

Alleged AriseBank Initial Coin Offering Scam Stopped

/

Date31 Jan 2018

/

Comment0

Security Update Issued to “Plug Intel’s Buggy Spectre Firmware Patch”

/

Date30 Jan 2018

/

Comment0

MetLife, Inc. Delays Earnings Release; Stock Price Drops Significantly

/

Date30 Jan 2018

/

Comment0

Stop Robocalls: TCPA Class Action Filed Against American Express

/

Date29 Jan 2018

/

Comment0

Grupo Televisa Discloses Material Weakness and Its ADR Price Drops

/

Date27 Jan 2018

/

Comment0

Ballard Power Systems’ Stock Price Falls – Class Action Investigation

/

Date26 Jan 2018

/

Comment0

Life Time Fitness Personal Trainers Overtime Pay Collective Action

/

Date25 Jan 2018

/

Comment0

Roomstogo.com, Inc. Telephone Consumer Protection Act Class Action

/

Date25 Jan 2018

/

Comment0

“My Big Coin” Virtual Currency CFTC Enforcement Action

/

Date24 Jan 2018

/

Comment0

Obalon Therapeutics Announces Termination of Public Stock Offering

/

Date24 Jan 2018

/

Comment0

Class Action Report and Investor Alert: Aerohive Networks, Inc.

/

Date22 Jan 2018

/

Comment0

Investor Alert: Class Action Filed Against Advanced Micro Devices, Inc.

/

Date22 Jan 2018

/

Comment0

Spectre and Meltdown – Computer Security Vulnerabilities Explained

/

Date22 Jan 2018

/

Comment0

Vodafone ADR Investor Alert – Vodafone Class Action Lawsuit Filed

/

Date20 Jan 2018

/

Comment0

Fraudulent Virtual Currency Scheme Enforcement Action

/

Date19 Jan 2018

/

Comment0