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Selected Press Releases

SEC Freezes Assets in Swiss-Based Account Used in Suspected Insider Trading Ahead of Heinz Acquisition

02/15/2013

Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today obtained an emergency court order to freeze assets in a Zurich, Switzerland-based trading account that was used to reap more than $1.7 million from trading in advance of yesterday’s public announcement about the acquisition of H.J. Heinz Company.Read more

SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration Program

02/08/2013

Washington, D.C., Feb. 8, 2013 — The Securities and Exchange Commission today announced charges and an asset freeze against an individual living in Illinois and two companies behind an investment scheme defrauding foreign investors seeking profitable returns and a legal path to U.S. residency through a federal visa program.Read more

SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity

01/29/2013

Washington, D.C., Feb. 4, 2013 — The Securities and Exchange Commission today charged a husband and wife who raised millions of dollars selling investments for a purported charitable organization in Tallahassee, Fla., while defrauding senior citizens and significantly exaggerating the amount of contributions actually made to charity.Read more

SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies

01/28/2013

Washington, D.C., Jan. 28, 2013 — The Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies being held this Friday, February 1.Read more

SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities

01/28/2013

Washington, D.C., Jan. 28, 2013 — The Securities and Exchange Commission today charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities (MBS) in the wake of the financial crisis so he could generate additional revenue for his firm.Read more