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Selected Press Releases

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

02/19/2015

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

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

02/19/2015

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

SEC Halts Colorado-Based Pyramid Scheme

02/18/2015

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

SEC Announces Fraud Charges Against Purported Hedge Fund Manager

02/13/2015

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

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

02/12/2015

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