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News and Alerts

03/19/2012

SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds

The Securities and Exchange Commission today issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds. Read more

03/15/2012

SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme

The Securities and Exchange Commission today charged two senior executives and their California-based firm with defrauding officers and directors at publicly-traded companies in an elaborate $8 million stock lending scheme.Read more

03/15/2012

SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report

The Securities and Exchange Commission today charged a San Francisco-area investment adviser with defrauding investors by giving them a bogus audit report that embellished the financial performance of the fund in which they were investing.Read more

03/15/2012

SEC Charges Chicago-Based Management Consultant With Insider Trading

The Securities and Exchange Commission today charged a Chicago-based management consultant with insider trading based on confidential information about his client’s impending takeover of a Long Island-based vitamin company.Read more

03/14/2012

SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares

The Securities and Exchange Commission today charged two managers of private investment funds established solely to acquire the shares of Facebook and other Silicon Valley firms with misleading investors and pocketing undisclosed fees and commissions. The SEC alleges that the fund managers collectively raised more than $70 million from investors.Read more