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News and Alerts

11/08/2012

SEC Charges Baton Rouge-Based Investment Adviser with Hiding Losses From Mortgage-Backed Securities Investments

Washington, D.C., Nov. 8, 2012 — The Securities and Exchange Commission today charged a hedge fund manager in Baton Rouge, La., with defrauding investors by hiding millions of dollars in losses suffered during the financial crisis from investments tied to residential mortgage-backed securities (RMBS).Read more

11/08/2012

SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud

Washington, D.C., Nov. 8, 2012 — The Securities and Exchange Commission today charged three executives with repeatedly lying to investors about the operations and financial condition of an Irvine, Calif.-based company that purported to sell credit card-size electronic games. The SEC also charged the company’s independent auditor with facilitating the scheme.Read more

11/01/2012

Investor Alert: Be on the Lookout for Investment Scams Related to Hurricane Sandy

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others following Hurricane Sandy, about investment fraud.Read more

10/29/2012

Stop Order Proceedings Instituted Against Caribbean Pacific Marketing

Washington, D.C., Oct. 29, 2012 — The Securities and Exchange Commission today announced that it has instituted proceedings to determine whether to issue an order that would prevent sales of shares in Caribbean Pacific Marketing, Inc., based on allegations that the company's disclosure is misleading.Read more

10/26/2012

SEC Charges Denver-Based Insurance Executive with Insider Trading

Washington, D.C., Oct. 26, 2012 — The Securities and Exchange Commission today charged an insurance company CEO with insider trading based on confidential information he obtained in advance of a private investment firm acquiring a significant stake in a Denver-based oil and gas company.Read more