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Selected Press Releases

SEC Announces Additional Charges in Football-Related Boiler Room Scheme - U.S. Attorney’s Offices in Miami and Los Angeles Announce Parallel Actions

07/24/2014

The Securities and Exchange Commission today announced a second round of charges against individuals behind a boiler room scheme that hyped a company whose new technology was purportedly Super Bowl-bound.Read more

SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors

07/24/2014

The Securities and Exchange Commission today announced it has charged a Florida-based transfer agent and its owner with defrauding investors by using aggressive boiler room tactics to peddle worthless securities with promises of high returns or discounted prices. Read more

SEC Adopts Money Market Fund Reform Rules - Rules Provide Structural and Operational Reform to Address Run Risks in Money Market Funds

07/23/2014

The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds. The amendments make structural and operational reforms to address risks of investor runs in money market funds, while preserving the benefits of the funds.Read more

SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases

07/22/2014

The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he helped prepare their press releases. Read more

SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile

07/17/2014

The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets to make loans to himself to buy a luxury vacation home and refinance a rare vintage automobile. Read more