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News and Alerts

07/11/2014

SEC Charges Group of Amateur Golfers in Insider Trading Ring

The Securities and Exchange Commission today charged a group of friends, most of them golfing buddies, who made more than $554,000 of illegal profits from trading on inside information about Massachusetts-based American Superconductor Corporation.Read more

07/11/2014

SEC, Massachusetts U.S. Attorney, and FBI Charge Five with Attempted Manipulation of Microcap Company

The Securities and Exchange Commission, the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation today announced charges against five individuals whose attempt to manipulate shares of Boston-based Amogear Inc. was caught by an FBI undercover operation.Read more

07/08/2014

SEC Charges California School District with Misleading Investors. Settlement Is First Under Initiative Targeting Municipal Disclosure.

The Securities and Exchange Commission today charged a school district in California with misleading bond investors about its failure to provide contractually required financial information and notices. The case is the first to be resolved under a new SEC initiative to address materially inaccurate statements in municipal bond offering documents.Read more

07/02/2014

SEC Charges Five Traders with Short Selling Violations

The Securities and Exchange Commission today charged five traders for committing short selling violations while trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based proprietary firm that earlier this year paid the largest-ever monetary sanction for Rule 105 violations.Read more

06/27/2014

Investor Bulletin: Transferring Your Investment Account

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about transferring an investment account from one investment firm to another and to provide tips on how to avoid problems and delays.Read more