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Selected Press Releases

SEC Charges Investment Adviser and Manager in South Florida-Based Fraud

01/21/2015

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since November 2013. Read more

SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies

01/15/2015

The Securities and Exchange Commission today announced charges against attorneys, auditors, and others allegedly involved in a microcap scheme the agency stifled last year when it suspended the registration statements of 20 purported mining companies being used for sham offerings of stock to investors.Read more

SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme

01/13/2015

The Securities and Exchange Commission today charged a man living in Ontario, Canada, with orchestrating a lucrative market manipulation scheme that relied on “layering” in which a trader places orders solely to trick others into buying or selling U.S. publicly traded stocks at artificially inflated or depressed prices.Read more

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

01/12/2015

The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 million penalty to settle charges that their rules failed to accurately describe the order types being used on the exchanges. The penalty is the SEC’s largest against a national securities exchange, and the case is the SEC’s first principally focusing on stock exchange order types. Read more

SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors

12/18/2014

The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculative start-up companies.Read more