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Selected Press Releases

SEC Charges Chicago-Based Investment Adviser with Defrauding CalPERS and Other Clients

04/18/2013

Washington, D.C., April 18, 2013 — The Securities and Exchange Commission today charged the CEO of Chicago-based investment advisory firm Simran Capital Management with lying to the California Public Employees' Retirement System (CalPERS) and other current and potential clients about the amount of money managed by the firm.Read more

SEC Charges Canada-Based Investment Banker with Insider Trading

04/16/2013

Washington, D.C., April 16, 2013 — The Securities and Exchange Commission today charged an investment banker in Toronto with insider trading by using information that he obtained through his job of pitching investment ideas to the Canada Pension Plan Investment Board (CPPIB).Read more

SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture

04/16/2013

Washington, D.C., April 16, 2013 — The Securities and Exchange Commission today charged two former brokers in Arizona with stealing investments in a project to develop tankless water heaters.Read more

SEC Charges Denver-Based Businessman with Insider Trading

04/15/2013

Washington, D.C., April 15, 2013 — The Securities and Exchange Commission today charged a prominent Denver-based businessman with insider trading based on confidential information he obtained from the CEO of an oil and gas company that was about to secure a huge investment.Read more

SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm

04/15/2013

Washington, D.C., April 15, 2013 — The Securities and Exchange Commission today charged a former employee at a Connecticut-based brokerage firm with scheming to personally profit from placing unauthorized orders to buy Apple stock. When the scheme backfired, it ultimately caused the firm to cease operations.Read more