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Selected Press Releases

SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme

02/25/2014

The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm for orchestrating a scheme to misallocate their expenses to the funds they manage.Read more

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients

02/21/2014

The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC.Read more

SEC Charges Three California Residents Behind Movie Investment Scam

02/20/2014

The Securities and Exchange Commission today charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors and generate exorbitant investment returns.Read more

SEC Names Rick Fleming as Investor Advocate

02/12/2014

The Securities and Exchange Commission today announced that Rick A. Fleming has been named as the first head of the agency’s Office of the Investor Advocate. Read more

Two Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China. SEC’s Quick Action After Trades Prevented Illegal Profits

02/11/2014

The Securities and Exchange Commission today announced that two Hong Kong-based asset management firms whose accounts were frozen in a major insider trading case have agreed to pay nearly $11 million to settle the charges against them.Read more