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Selected Press Releases

SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts

05/02/2012

The Securities and Exchange Commission today charged a Florida man and 10 cohorts involved in two separate schemes to illegally sell stock, including one that sought to capitalize on circumstances in Haiti following the earthquake that destroyed much of the country's infrastructure in January 2010.Read more

SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers

05/01/2012

The Securities and Exchange Commission today charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds.Read more

SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme

04/30/2012

The Securities and Exchange Commission today charged a mother and daughter along with their attorney in a scheme to unlawfully acquire and sell billions of shares of penny stock in unregistered transactions.Read more

SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud

04/25/2012

The Securities and Exchange Commission today charged a former executive at Morgan Stanley with violating the Foreign Corrupt Practices Act (FCPA) as well as securities laws for investment advisers by secretly acquiring millions of dollars worth of real estate investments for himself and an influential Chinese official who in turn steered business to Morgan Stanley’s funds.Read more

Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32 Million Insider Trading Case

04/25/2012

The Securities and Exchange Commission today announced a settlement in a $32 million insider trading case filed by the agency last year against a corporate attorney and a Wall Street trader.Read more