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News and Alerts

02/12/2015

SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets

The Securities and Exchange Commission today charged an investment adviser to several alternative mutual funds for maintaining millions of dollars of the funds’ cash collateral at broker-dealer counterparties instead of the funds’ custodial bank. The violations were uncovered during an SEC examination of the firm and the funds it manages. Read more

02/11/2015

SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer

The Securities and Exchange Commission today announced charges against an Atlanta resident accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned from the friend of a company executive. Read more

02/10/2015

SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

The Securities and Exchange Commission today announced that the former CEO of a global investment services firm’s brokerage subsidiary agreed to pay more than $783,000 and admit wrongdoing to settle a case involving employees under his control misleading customers. Read more

02/10/2015

SEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud

The Securities and Exchange Commission today announced that two former CFOs have agreed to return nearly a half-million dollars in bonuses and stock sale profits they received while their Silicon Valley software company was committing accounting fraud. Read more

02/05/2015

Investor Alert: “Prime Bank” Investments Are Scams

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about fraudulent investment schemes involving purportedly high-yield, risk-free international finance programs.Read more