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News and Alerts

08/13/2015

Three Maryland Men Settle Charges They Defrauded Investors in Real Estate Investment Company

The Securities and Exchange Commission today announced that three Maryland men have agreed to settle charges that they defrauded investors in a company that owns and operates residential and commercial real estate. Boston-based Signator Investors Inc. and one of its supervisors agreed to settle separate charges that they failed to supervise two of the men who worked in Signator’s Maryland office.Read more

08/12/2015

SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information

The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle charges that they operated a secret trading desk and misused the confidential trading information of dark pool subscribers.Read more

08/11/2015

SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases - Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits

The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme to profit from stolen nonpublic information about corporate earnings announcements. Those charged include two Ukrainian men who allegedly hacked into newswire services to obtain the information and 30 other defendants in and outside the U.S. who allegedly traded on it, generating more than $100 million in illegal profits. Read more

08/10/2015

Guggenheim Partners Investment Management LLC Settles Charges it Failed to Disclose Conflict to Clients

The Securities and Exchange Commission today announced that Guggenheim Partners Investment Management LLC has agreed to settle charges it breached its fiduciary duty by failing to disclose a $50 million loan that one of its senior executives received from an advisory client. Read more

08/05/2015

Updated Investor Alert: SEC Warns of Government Impersonators Demanding Money

SEC staff is issuing this updated Investor Alert because we are aware of fraudulent communications, including official looking documents such as bogus subpoenas, that purport to be from the Securities and Exchange Commission demanding money for fictitious securities law violations. Read more