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Selected Press Releases

SEC Charges Three Firms With Violating Custody Rule

10/28/2013

The Securities and Exchange Commission today sanctioned three SEC-registered investment advisory firms for violating the “custody rule” that requires them to meet certain standards when maintaining custody of their clients’ funds or securities.Read more

SEC Charges Stryker Corporation With FCPA Violations

10/24/2013

The Securities and Exchange Commission today charged a Michigan-based medical technology company with violating the Foreign Corrupt Practices Act (FCPA) when subsidiaries in five different countries bribed doctors, health care professionals, and other government-employed officials in order to obtain or retain business.Read more

SEC Issues Proposal on Crowdfunding

10/23/2013

The Securities and Exchange Commission today voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding.Read more

SEC Charges Diebold With FCPA Violations

10/22/2013

The Securities and Exchange Commission today charged an Ohio-based manufacturer of ATMs and bank security systems with violating the Foreign Corrupt Practices Act by bribing officials at government-owned banks with pleasure trips in order to illicitly win business.Read more

SEC Announces Fraud Charges Against Collateral Manager Of CDO

10/18/2013

The Securities and Exchange Commission today announced charges against a Morristown, N.J.-based investment advisory firm and its owner for misleading investors in a collateralized debt obligation (CDO) and breaching their fiduciary duties.Read more