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Selected Press Releases

SEC Charges Independent Filmmaker With Insider Trading

09/23/2013

The Securities and Exchange Commission today charged a Manhattan-based independent filmmaker with insider trading on confidential information about impending takeovers of two biotechnology companies.Read more

SEC Charges TD Bank and Former Executive for Roles in Rothstein Ponzi Scheme in South Florida

09/23/2013

The Securities and Exchange Commission today charged TD Bank and a former executive with violating securities laws in connection with a massive South Florida-based Ponzi scheme conducted by Scott Rothstein, who is now serving a 50-year prison sentence.Read more

SEC Charges Former Qualcomm Executive and His Financial Advisor With Insider Trading Through Secret Offshore Accounts

09/23/2013

The Securities and Exchange Commission today charged a former executive at Qualcomm Inc. and his former financial advisor with insider trading ahead of major announcements by the San Diego-based wireless technology company for more than a quarter-million dollars in profits.Read more

SEC Charges 10 Brokers for Roles in McGinn Smith Ponzi Scheme

09/23/2013

The Securities and Exchange Commission today announced charges against 10 former brokers at an Albany, N.Y.-based firm at the center of a $125 million investment scheme for which the co-owners have received jail sentences.Read more

SEC Charges Advisory Firm Owner and Stockbroker With Insider Trading Ahead of Merger Announcement by Pharmaceutical Firms

09/20/2013

The Securities and Exchange Commission today charged the owner of a New York-based advisory firm with insider trading in his own account and client accounts based on non-public information in advance of a merger announcement by pharmaceutical companies.Read more