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Selected Press Releases

SEC Says Social Media OK for Company Announcements if Investors Are Alerted

04/02/2013

Washington, D.C., April 2, 2013 — The Securities and Exchange Commission today issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social media will be used to disseminate such information.Read more

SEC Charges Sigma Capital Portfolio Manager with Insider Trading

03/29/2013

Washington, D.C., March 29, 2013 —The Securities and Exchange Commission today charged Michael Steinberg, a portfolio manager at New York-based hedge fund advisory firm Sigma Capital Management, with trading on inside information ahead of quarterly earnings announcements by Dell and Nvidia Corporation.Read more

Foreign Traders Agree to Pay $3.3 Million to Settle Charges in Nexen Insider Trading Case

03/29/2013

Washington, D.C., March 29, 2013 — The Securities and Exchange Commission today announced that a Chinese businessman and his wife whose trading accounts were frozen last year as part of a major insider trading case have agreed to settle charges that they loaded up on the securities of Nexen Inc. while in possession of nonpublic information about an impending announcement that the company was being acquired by China-based CNOOC Ltd.Read more

SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading

03/26/2013

Washington, D.C., March 26, 2013 — The Securities and Exchange Commission today charged a California-based hedge fund analyst with insider trading in advance of a merger of two technology companies based on nonpublic information he received from his friend who was an executive at one of the companies.Read more

SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud

03/22/2013

Washington, D.C., March 22, 2013 — The Securities and Exchange Commission today announced charges against a Houston-based hedge fund manager and his firm accused of defrauding investors in two hedge funds and steering bloated fees to a brokerage firm CEO who also is charged in the SEC’s case.Read more