Aware of possible SEC fraud?
Examples of SEC/CFTC Fraud Cases
- Insider trading: Illegal insider trading consists of an insider (an officer, key employee, or director) trading stocks based on information not available to the public.
- Mutual fund fraud: Examples include late trading and market timing – deceptive acts that put customers at a disadvantage.
- Ponzi schemes: An investment fund where withdrawals are funded solely by new investors. The most infamous example of a Ponzi scheme is the Madoff investment scandal, with fraud estimated at $65 billion.