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Selected Press Releases

SEC Charges Oracle Corporation With FCPA Violations Related to Secret Side Funds in India

08/16/2012

The Securities and Exchange Commission today charged Oracle Corporation with violating the Foreign Corrupt Practices Act (FCPA) by failing to prevent a subsidiary from secretly setting aside money off the company's books that was eventually used to make unauthorized payments to phony vendors in India.Read more

SEC Halts Denver-Based Ponzi Scheme

08/15/2012

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a Denver-based company and two Colorado residents carrying out a $15.7 million Ponzi scheme harming more than 120 investors nationwide.Read more

SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks

08/14/2012

The Securities and Exchange Commission today charged Wells Fargo’s brokerage firm and a former vice president for selling investments tied to mortgage-backed securities without fully understanding their complexity or disclosing the risks to investors.Read more

SEC Charges Mutual Fund Adviser With Failing to Turn Over Records to SEC Examiners

08/10/2012

The Securities and Exchange Commission today charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks.Read more

SEC Charges Pfizer with FCPA Violations

08/07/2012

The Securities and Exchange Commission today charged Pfizer Inc. with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries bribed doctors and other health care professionals employed by foreign governments in order to win business.Read more