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News and Alerts


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


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


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


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


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