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News and Alerts

07/30/2013

SEC Charges Two Traders in Spain With Insider Trading Ahead of BHP Acquisition Bid

Washington D.C., July 30, 2013 — The Securities and Exchange Commission today charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider trading based on non-public information about a proposed acquisition for which the Spanish investment bank was acting as an advisor.Read more

07/29/2013

SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors

The Securities and Exchange Commission today charged a school district in Indiana and its municipal bond underwriter with falsely stating to bond investors that the school district had been properly providing annual financial information and notices required as part of its prior bond offerings.Read more

07/26/2013

SEC Charges Houston-Based Investor Relations Executive With Insider Trading in Stocks of Clients

The Securities and Exchange Commission today charged the former CEO of a Houston-based investor relations firm with insider trading in the securities of multiple firm clients.Read more

07/23/2013

Investor Alert: Ponzi Schemes Using Virtual Currencies

The SEC’s Office of Investor Education and Advocacy is issuing this investor alert to warn individual investors about fraudulent investment schemes that may involve Bitcoin and other virtual currencies.Read more

07/17/2013

SEC Obtains $13.9 Million Penalty Against Rajat Gupta

Washington D.C., July 17, 2013 — The Securities and Exchange Commission today obtained a $13.9 million penalty against former Goldman Sachs board member Rajat K. Gupta for illegally tipping corporate secrets to former hedge fund manager Raj Rajaratnam. Gupta also is permanently barred from serving as an officer or director of a public company.Read more