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02/04/2014

SEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme

The Securities and Exchange Commission today announced charges against two Wall Street traders involved in a fraudulent “parking” scheme in which one temporarily placed securities in the other’s trading book to avoid penalties that would affect his year-end bonus.Read more

02/03/2014

SEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies

The Securities and Exchange Commission today announced the latest actions in its microcap fraud-fighting initiative known as Operation Shell-Expel, suspending trading in 255 dormant shell companies ripe for abuse in the over-the-counter market.Read more

02/03/2014

SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements

The Securities and Exchange Commission today announced the filing of stop order proceedings against 20 purported mining companies believed to have included false information in their registration statements.Read more

01/31/2014

SEC Charges Two College Professors in Naked Short Selling Scheme Data Analysis by SEC Staff Breaks Case

The Securities and Exchange Commission today charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits.Read more

01/29/2014

SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account

The Securities and Exchange Commission today announced charges against the former director of internal audit at a Chicago-based health care information technology company for insider trading ahead of the release of its financial results and making more than a quarter-million dollars in illicit profits.Read more