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SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock

The Securities and Exchange Commission today charged the chairman and CEO of a Santa Ana, CA-based computer storage device company with insider trading in a secondary offering of his stock shares with knowledge of confidential information that a major customer’s demand for one of its most profitable products was turning out to be less than expected.Read more


SEC Charges Chicago-Based Consulting Firm and Executives With Accounting Violations

The Securities and Exchange Commission today charged a Chicago-based consulting firm and two of its former executives with accounting violations that overstated the company’s income for multiple years.Read more


SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO

The Securities and Exchange Commission today charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. The SEC also charged the firm that served as the deal’s collateral manager and the person who was its portfolio manager.Read more


Short Selling Brothers Agree to Pay $14.5 Million to Settle SEC Charges

The Securities and Exchange Commission today announced that two options traders who the agency charged earlier this year with short selling violations have agreed to pay more than $14.5 million to settle the case against them.Read more


SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer

The Securities and Exchange Commission today charged five physicians with insider trading in the securities of an East Lansing, MI-based holding company for a medical professional liability insurer.Read more