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Selected Press Releases

SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture

04/23/2014

The Securities and Exchange Commission today filed fraud charges against a former Florida-based stock promoter currently serving a two-year prison sentence for lying to SEC investigators.Read more

SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement

04/23/2014

The Securities and Exchange Commission today issued a stop order to prevent a Northern California-based company from issuing stock after including false and misleading information in its amended registration statement for an initial public offering (IPO).Read more

SEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading

04/21/2014

Washington D.C. — The Securities and Exchange Commission today charged a former biopharmaceutical company executive and two others with insider trading on confidential information about the company’s key developmental drug. The company’s stock price fell sharply when it announced clinical trial results for the drug.Read more

SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants

04/17/2014

The Securities and Exchange Commission today announced that on Tuesday it filed charges against the Massachusetts-based operators of a large pyramid scheme that mainly targeted Dominican and Brazilian immigrants in the U.S. The charges were filed under seal, in connection with the Commission’s request for an immediate asset freeze. That asset freeze, which the U.S. District Court in Boston ordered on Wednesday, secured millions of dollars of funds and prevented the potential dissipation of investor assets. After the SEC staff implemented the asset freeze, at the SEC’s request the court lifted the seal today, permitting public announcement of the SEC’s charges.Read more

SEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill

04/17/2014

The Securities and Exchange Commission today charged a former 20-year employee of BP p.l.c. and a senior responder during the 2010 Deepwater Horizon oil spill with insider trading in BP securities based on confidential information about the magnitude of the disaster. The price of BP securities fell significantly after the April 20, 2010 explosion on the Deepwater Horizon rig, and the subsequent oil spill in the Gulf of Mexico, resulted in an extensive clean-up effort.Read more