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Selected Press Releases

SEC Awards More Than $14 Million to Whistleblower

10/01/2013

The Securities and Exchange Commission today announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds. Payments to whistleblowers are made from a separate fund previously established by the Dodd-Frank Act and do not come from the agency’s annual appropriations or reduce amounts paid to harmed investors. Read more

SEC Halts Texas-Based Scheme Targeting Foreign Investors Seeking U.S. Residency Through EB-5 Visa Program - SEC, USCIS Issue Joint Alert to Caution Investors About Fraudulent EB-5 Investment Schemes

10/01/2013

The Securities and Exchange Commission today announced fraud charges against a husband and wife in Texas for stealing funds from foreign investors under the guise of an investment opportunity to create U.S. jobs and a path to U.S. residency.Read more

SEC Charges New Jersey-Based Accounting Firm and Founding Partner for Failed Audits of China-Based Company

09/30/2013

The Securities and Exchange Commission today charged a New Jersey-based audit firm and one of its founding partners for their roles in the botched audits of a China-based company that failed to disclose related party transactions by its CEO and others.Read more

SEC Charges South Florida Woman Behind Ponzi Scheme Targeting Colombian-American Community

09/30/2013

The Securities and Exchange Commission today charged a woman living in South Florida with defrauding investors in a Ponzi scheme and affinity fraud that targeted the local Colombian-American community and involved purported investments in immigration bail bonds.Read more

SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures By Gatekeepers

09/30/2013

The Securities and Exchange Commission today announced charges against three auditors for violating federal securities laws or failing to comply with U.S. auditing standards during their audits and reviews of financial statements for publicly traded companies.Read more