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News and Alerts

09/09/2013

SEC Halts Florida-Based Prime Bank Investment Scheme

Washington D.C. — The Securities and Exchange Commission today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme that promised exorbitant returns from a purported international trading program.Read more

09/06/2013

SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules

Washington D.C. — The Securities and Exchange Commission today charged the former head of investor relations for a Tempe, Ariz.-based solar energy company with violating rules requiring fair disclosure of information when he alerted certain analysts and investors about an upcoming major development.Read more

09/05/2013

Thailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading Case

Washington D.C. — The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2 million to settle charges that he traded on inside information in advance of a public announcement about a proposed acquisition of Smithfield Foods by a firm in China.Read more

08/30/2013

SEC Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund

The Securities and Exchange Commission today announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund.Read more

08/21/2013

Investor Bulletin: Understanding Margin Accounts

The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the use of margin accounts.Read more