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Selected Press Releases

SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO

07/18/2012

The Securities and Exchange Commission today charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. The SEC also charged the firm that served as the deal’s collateral manager and the person who was its portfolio manager.Read more

Short Selling Brothers Agree to Pay $14.5 Million to Settle SEC Charges

07/17/2012

The Securities and Exchange Commission today announced that two options traders who the agency charged earlier this year with short selling violations have agreed to pay more than $14.5 million to settle the case against them.Read more

SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer

07/10/2012

The Securities and Exchange Commission today charged five physicians with insider trading in the securities of an East Lansing, MI-based holding company for a medical professional liability insurer.Read more

SEC Charges Orthofix International With FCPA Violations

07/10/2012

The Securities and Exchange Commission today charged Texas-based medical device company Orthofix International N.V. with violating the Foreign Corrupt Practices Act (FCPA) when a subsidiary paid routine bribes referred to as “chocolates” to Mexican officials in order to obtain lucrative sales contracts with government hospitals.Read more

SEC Freezes Assets of Missing Georgia-Based Investment Adviser

07/02/2012

The Securities and Exchange Commission today obtained a court order to freeze the assets of a Georgia-based investment adviser who has apparently gone into hiding after orchestrating a $40 million investment fraud.Read more