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Selected Press Releases

SEC Announces Cases Targeting International Pyramid Scheme Operators

09/26/2014

The Securities and Exchange Commission today announced charges against the operators of an international pyramid scheme that raised more than $129 million from investors worldwide, primarily in the U.S., China, and Taiwan. The case follows another against a separate pyramid scheme that lured investors in the U.S., China, and Korea with seminars, webinars, and YouTube videos.Read more

SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors

09/26/2014

The Securities and Exchange Commission today announced charges against four insurance agents for unlawfully selling securities in what turned out to be a multi-million dollar offering fraud targeting elderly investors.Read more

SEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud

09/25/2014

The Securities and Exchange Commission today announced suspensions in trading for nine different penny stocks as part of an ongoing enforcement initiative to combat microcap fraud.Read more

SEC Charges Arizona-Based Software Company for Inadequate Internal Accounting Controls Over Its Financial Reporting

09/25/2014

The Securities and Exchange Commission today sanctioned a Scottsdale, Ariz.-based software company for having inadequate internal accounting controls over its financial reporting, which resulted in misstated revenues in public filings.Read more

SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme - CEO Agrees to Return $2.5 Million Under Clawback Provision

09/25/2014

The Securities and Exchange Commission today charged a Silicon Valley-based software company and two former executives behind an accounting fraud in which timesheets were falsified to hit quarterly financial targets.Read more