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Selected Press Releases

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

SEC Charges Former KPMG Partner and Friend with Insider Trading

04/11/2013

Washington, D.C., April 11, 2013 — The Securities and Exchange Commission today charged the former partner in charge of KPMG's Pacific Southwest audit practice and his friend with insider trading on nonpublic information about firm clients.Read more

Mary Jo White Sworn in as Chair of SEC

04/10/2013

Washington, D.C., April 10, 2013 — The Securities and Exchange Commission today announced that Mary Jo White was sworn in this morning as the 31st Chair of the SEC.Read more

SEC Charges Former Medical Device Company Employee for Illegally Tipping Brother with Quarterly Earnings Data

04/08/2013

Washington, D.C., April 8, 2013 — The Securities and Exchange Commission today charged a former employee at a California-based medical device manufacturer with illegally tipping confidential financial data to her brother, who illegally traded in the company's stock and enabled his hedge fund clients to do the same.Read more

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