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Selected Press Releases

SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading

03/08/2012

The Securities and Exchange Commission today charged a former executive at a Coca-Cola bottling company with insider trading based on confidential information he learned on the job about potential upcoming business with The Coca-Cola Company.Read more

SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors

03/06/2012

The Securities and Exchange Commission today announced it has charged a New York-based investment adviser with defrauding investors in five offshore funds and using some of their money to buy himself a multi-million dollar beach resort property on Long Island.Read more

Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case

03/02/2012

The Securities and Exchange Commission today announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis.Read more

SEC Proposes Rules To Help Prevent And Detect Identity Theft

02/28/2012

The Securities and Exchange Commission today announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.Read more

SEC Releases Risk Alert on Unauthorized Trading

02/27/2012

The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.Read more