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News and Alerts

10/22/2013

SEC Charges Diebold With FCPA Violations

The Securities and Exchange Commission today charged an Ohio-based manufacturer of ATMs and bank security systems with violating the Foreign Corrupt Practices Act by bribing officials at government-owned banks with pleasure trips in order to illicitly win business.Read more

10/18/2013

SEC Announces Fraud Charges Against Collateral Manager Of CDO

The Securities and Exchange Commission today announced charges against a Morristown, N.J.-based investment advisory firm and its owner for misleading investors in a collateralized debt obligation (CDO) and breaching their fiduciary duties.Read more

10/17/2013

Investor Alert: Beware of Pyramid Schemes Posing as Multi-Level Marketing Programs

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to warn individual investors about pyramid schemes, a type of investment scam that fraudsters often pitch as a legitimate business opportunity in the form of multi-level marketing programs.Read more

10/17/2013

SEC Halts Pyramid Scheme Targeting Asian-American Community

The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme that falsely promises exponential, risk-free returns to investors in a venture that purportedly sells Internet-based children’s educational courses.Read more

10/16/2013

SEC Charges Knight Capital With Violations of Market Access Rule

The Securities and Exchange Commission today announced that Knight Capital Americas LLC has agreed to pay $12 million to settle charges that it violated the agency’s market access rule in connection with the firm’s Aug. 1, 2012 trading incident that disrupted the markets.Read more