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News and Alerts

04/22/2013

SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group

Washington, D.C., April 22, 2013 — The Securities and Exchange Commission today charged a former corporate executive living in South Florida with insider trading based on confidential information that he learned as part of a professional organization.Read more

04/22/2013

George Canellos and Andrew Ceresney Named Co-Directors of Enforcement

Washington, D.C., April 22, 2013 — The Securities and Exchange Commission today announced that Acting Director George Canellos and former federal prosecutor Andrew Ceresney have been named Co-Directors of the Division of Enforcement.Read more

04/18/2013

SEC Charges Chicago-Based Investment Adviser with Defrauding CalPERS and Other Clients

Washington, D.C., April 18, 2013 — The Securities and Exchange Commission today charged the CEO of Chicago-based investment advisory firm Simran Capital Management with lying to the California Public Employees' Retirement System (CalPERS) and other current and potential clients about the amount of money managed by the firm.Read more

04/16/2013

Updated Investor Alert: SEC Warns of Government Impersonators

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission (including a recent bogus email scam using the name of Lori Schock, Director of the SEC’s Office of Investor Education and Advocacy).Read more

04/16/2013

SEC Charges Canada-Based Investment Banker with Insider Trading

Washington, D.C., April 16, 2013 — The Securities and Exchange Commission today charged an investment banker in Toronto with insider trading by using information that he obtained through his job of pitching investment ideas to the Canada Pension Plan Investment Board (CPPIB).Read more