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Selected Press Releases

SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations

10/29/2014

The Securities and Exchange Commission today announced charges against an investment advisory firm and three top officials for violating the “custody rule” that requires firms to follow certain procedures when they control or have access to client money or securities.Read more

SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies

10/24/2014

The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in illicit profits trading in the securities of two pharmaceutical companies that were about to be acquired. The SEC charged his source of nonpublic information earlier this month.Read more

SEC Sanctions Florida-Based Auditor for Circumventing Rules

10/24/2014

The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly traded company in order to preserve the integrity of the financial reporting process. Read more

Rengan Rajaratnam Agrees to Settle Insider Trading Charges

10/23/2014

The Securities and Exchange Commission today announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than $840,000 and accept securities industry bars in order to settle the agency’s insider trading case against him.Read more

SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds

10/17/2014

The Securities and Exchange Commission today charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised from investors for a Caribbean vacation and plastic surgery.Read more