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Selected Press Releases

SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer

02/11/2015

The Securities and Exchange Commission today announced charges against an Atlanta resident accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned from the friend of a company executive. Read more

SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

02/10/2015

The Securities and Exchange Commission today announced that the former CEO of a global investment services firm’s brokerage subsidiary agreed to pay more than $783,000 and admit wrongdoing to settle a case involving employees under his control misleading customers. Read more

SEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud

02/10/2015

The Securities and Exchange Commission today announced that two former CFOs have agreed to return nearly a half-million dollars in bonuses and stock sale profits they received while their Silicon Valley software company was committing accounting fraud. Read more

SEC Charges Four in California Insider Trading Ring

02/05/2015

The Securities and Exchange Commission today charged a stock research analyst, a corporate insider, and two others involved in a California-based insider trading ring that generated nearly $750,000 in illegal profits by trading in advance of four corporate news announcements. Read more

SEC Alerts Investors, Industry on Cybersecurity

02/03/2015

The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to protect their online investment accounts. Read more