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Selected Press Releases

Thailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading Case

09/05/2013

Washington D.C. — The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2 million to settle charges that he traded on inside information in advance of a public announcement about a proposed acquisition of Smithfield Foods by a firm in China.Read more

SEC Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund

08/30/2013

The Securities and Exchange Commission today announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund.Read more

SEC Charges North Carolina-Based Investment Adviser for Misleading Fund Board About Algorithmic Trading Ability

08/21/2013

The Securities and Exchange Commission today announced charges against a North Carolina-based investment adviser and its former owner for misleading an investment fund’s board of directors about the firm’s ability to conduct algorithmic currency trading so they would approve the firm’s contract to manage the fund.Read more

SEC Charges Former Oppenheimer Private Equity Fund Manager with Misleading Investors about Valuation and Performance

08/20/2013

Washington D.C., Aug. 20, 2013 —The Securities and Exchange Commission today charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds.Read more

Philip Falcone and Harbinger Capital Agree to Settlement

08/19/2013

Washington D.C., Aug. 19, 2013 — The Securities and Exchange Commission today announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners have agreed to a settlement in which they must pay more than $18 million and admit wrongdoing. Falcone also agreed to be barred from the securities industry for at least five years.Read more