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Selected Press Releases

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

SEC Halts Pyramid Scheme Targeting Asian-American Community

10/17/2013

The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme that falsely promises exponential, risk-free returns to investors in a venture that purportedly sells Internet-based children’s educational courses.Read more

SEC Charges Knight Capital With Violations of Market Access Rule

10/16/2013

The Securities and Exchange Commission today announced that Knight Capital Americas LLC has agreed to pay $12 million to settle charges that it violated the agency’s market access rule in connection with the firm’s Aug. 1, 2012 trading incident that disrupted the markets.Read more