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08/20/2013

SEC Charges Former Oppenheimer Private Equity Fund Manager with Misleading Investors about Valuation and Performance

Washington D.C., Aug. 20, 2013 —The Securities and Exchange Commission today charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds.Read more

08/19/2013

Philip Falcone and Harbinger Capital Agree to Settlement

Washington D.C., Aug. 19, 2013 — The Securities and Exchange Commission today announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners have agreed to a settlement in which they must pay more than $18 million and admit wrongdoing. Falcone also agreed to be barred from the securities industry for at least five years.Read more

08/01/2013

SEC Charges Purported Biofuel Company and a Dozen Individuals in Chicago-Based Pump-and-Dump Scheme

Washington D.C., Aug. 1, 2013 — The Securities and Exchange Commission today charged a purported biofuel company in Chicago and a dozen individuals in a pump-and-dump scheme that generated $4.4 million in illicit profits.Read more

07/31/2013

SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers.Read more

07/31/2013

SEC Adopts Rules to Increase Protections for Investors With Assets Being Held By Broker-Dealers

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of rules designed to substantially increase protections for investors who turn their money and securities over to broker-dealers registered with the SEC. Read more