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Selected Press Releases

SEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund. Hedge Fund’s Portfolio Manager Agrees to Settle Charges

12/10/2014

The Securities and Exchange Commission today announced fraud charges against a Buffalo, N.Y.-based investment advisory firm and two co-owners accused of making false and misleading statements to clients when recommending investments in a risky hedge fund. The hedge fund’s portfolio manager agreed to settle similar charges.Read more

SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations

12/08/2014

The Securities and Exchange Commission today sanctioned a computer programmer for operating two online venues that traded securities using virtual currencies Bitcoin or Litecoin without registering the venues as broker-dealers or stock exchanges.Read more

SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company

12/04/2014

The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving the stock of a Northern Virginia-based company that claims to be in the airport security business. Read more

SEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences

12/03/2014

The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider accused of listing fake occupants at some senior residences in order to meet the requirements of a lease to operate the facilities.Read more

SEC Charges California Resident With Fraudulent Sales of Stock

12/02/2014

The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock that he claimed to own when he had actually purchased them for others a few years before.Read more