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News and Alerts

03/06/2014

SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm

The Securities and Exchange Commission today charged five executives and finance professionals with facilitating a $150 million fraudulent bond offering by Dewey & LeBoeuf, the international law firm where they worked.Read more

03/05/2014

SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations

The Securities and Exchange Commission today announced the largest-ever monetary sanction for Rule 105 short selling violations as a Long Island-based proprietary trading firm and its owner agreed to pay $7.2 million to settle charges.Read more

03/05/2014

SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter

The Securities and Exchange Commission today announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies masquerading as a legitimate international investment firm.Read more

02/25/2014

SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme

The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm for orchestrating a scheme to misallocate their expenses to the funds they manage.Read more

02/21/2014

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients

The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC.Read more