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News and Alerts

02/19/2015

SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions

The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). Read more

02/19/2015

SEC Charges Brothers-in-Law in Louisiana With Insider Trading

The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law whom he allegedly tipped with nonpublic information ahead of the company’s merger. Read more

02/18/2015

SEC Halts Colorado-Based Pyramid Scheme

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against two operators of a Colorado-based pyramid and Ponzi scheme that promises investors extraordinary returns of 700 percent through a purported “triple algorithm” and “3-D matrix.”Read more

02/13/2015

SEC Announces Fraud Charges Against Purported Hedge Fund Manager

The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with stealing money from his investors. Read more

02/12/2015

SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets

The Securities and Exchange Commission today charged an investment adviser to several alternative mutual funds for maintaining millions of dollars of the funds’ cash collateral at broker-dealer counterparties instead of the funds’ custodial bank. The violations were uncovered during an SEC examination of the firm and the funds it manages. Read more