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News and Alerts

12/07/2012

SEC Charges Prominent Entrepreneur in Miami-Based Scheme

Washington, D.C., Dec. 7, 2012 — The Securities and Exchange Commission today charged a prominent Miami-based entrepreneur with defrauding investors by grossly exaggerating the financial success of his company that purportedly produced housing materials to withstand fires and hurricanes. Claudio Osorio stole nearly half of the money raised from investors to pay the mortgage on his multi-million dollar mansion and other lavish highlife expenses.Read more

12/06/2012

Investor Bulletin: Year-End Investment Considerations for Individual Investors

The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to provide individual investors with a few suggestions for year-end investment planning as the year draws to a close.Read more

12/05/2012

SEC Charges 10 in Insider Trading Ring Around Investment Banker’s Illegal Tips on Impending Mergers

Washington, D.C., Dec. 5, 2012 — The Securities and Exchange Commission today charged an investment banker who was primarily based in Charlotte, N.C., and nine others involved in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers.Read more

12/03/2012

SEC Staff to Host Decimalization Roundtable

Washington, D.C., Dec. 3, 2012 — The Securities and Exchange Commission today announced that its staff will host a roundtable early next year to discuss the impact of decimal-based stock trading on small and mid-sized companies, market professionals, investors, and U.S. securities markets.Read more

11/30/2012

SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process

Washington, D.C., Nov. 30, 2012 — The Securities and Exchange Commission today charged a Connecticut-based business executive with insider trading ahead of the sale of Patriot Capital Funding Group based on nonpublic information he learned at the helm of a firm involved in the bidding process.Read more