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News and Alerts

09/10/2014

SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings. Nearly Three Dozen Charged in Enforcement Initiative to Root Out Repeated Late Filers

The Securities and Exchange Commission today announced charges against 28 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock. Six publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies.Read more

09/10/2014

SEC Announces Fraud Charges Against Biotech Company and Former Executive Who Failed to Report Insider Stock Sales

The Securities and Exchange Commission today charged a Massachusetts-based biotech company and its former CEO with defrauding investors by failing to report his sales of company stock.Read more

09/09/2014

Investor Alert: Be on the Lookout for Advance Fee Fraud

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud.Read more

09/09/2014

SEC Charges Offshore Business and Two Individuals Behind Scheme to Conceal Ownership of Microcap Stocks

The Securities and Exchange Commission today charged two individuals managing an offshore business intended to help clients evade U.S. securities laws with concealing the ownership of certain microcap stocks as part of a larger money laundering scheme alleged by criminal authorities.Read more

09/08/2014

SEC Charges Minneapolis-Based Hedge Fund Manager With Bilking Investors and Portfolio Pumping

The Securities and Exchange Commission today charged a Minneapolis-based hedge fund manager, his investment advisory firm, and an accomplice with bilking investors in two hedge funds out of more than $1 million under the guise of research expenses and fees.Read more