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Selected Press Releases

SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings

09/18/2012

The Securities and Exchange Commission today charged the co-founder of a Chicago-based investment firm with misleading investors in two private equity offerings, and charged the other co-founder with supervisory failures related to the offerings.Read more

SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts

09/10/2012

The Securities and Exchange Commission today charged three former brokers at an Atlanta-based brokerage firm for “churning” the accounts of customers with conservative investment objectives, causing severe investor losses while the brokers collected handsome fees.Read more

SEC Shuts Down San Diego-Based Real Estate Investment Fraud

09/07/2012

The Securities and Exchange Commission today announced an asset freeze against a San Diego-based firm and its owner accused of running a real estate investment fraud that raised approximately $50 million from hundreds of investors nationwide.Read more

SEC Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis

09/07/2012

The Securities and Exchange Commission today announced an emergency enforcement action against an asset manager who has boasted remarkable investment success throughout the global financial crisis while allegedly exaggerating the value of the assets he manages and concealing major losses from investors.Read more

SEC Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments

09/06/2012

The Securities and Exchange Commission today instituted a settled administrative proceeding against two Portland, Oregon-based investment advisory firms and their owner regarding the failure to disclose a revenue-sharing agreement and other potential conflicts of interest to clients.Read more