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Selected Press Releases

SEC Charges Raymond James for Auction Rate Securities Sales Practices, Firm Agrees to Buy Back All Outstanding ARS from Eligible Customers

06/29/2011

The Securities and Exchange Commission today charged Raymond James & Associates Inc. and Raymond James Financial Services Inc. for making inaccurate statements when selling auction rate securities (ARS) to customers.Read more

SEC Issues Bulletin On Risks Of Investing In Reverse Merger Companies

06/09/2011

The Securities and Exchange Commission today issued an Investor Bulletin outlining the risks of investing in companies that enter U.S. markets through so-called “reverse mergers.”Read more

Tenaris to Pay $5.4 Million in SEC's First-Ever Deferred Prosecution Agreement

05/17/2011

The Securities and Exchange Commission today entered into a Deferred Prosecution Agreement (DPA) with Tenaris S.A. in its first-ever use of the approach to facilitate and reward cooperation in SEC investigations.Read more

SEC Halts Ponzi Scheme by Co-Founder of China Voice Holding Corp.

04/29/2011

The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of China Voice Holding Corp., which trades in over-the-counter markets and has claimed to have a portfolio of telecommunications products and services in both the U.S. and China. The SEC alleges that China Voice's co-founder and his two associates are operating an $8.6 million Ponzi scheme and misusing its proceeds, in part, to help fund the company's operations.Read more

SEC Seeks Public Comment on Effective Investor Education Programs

04/19/2011

Washington, D.C., April 19, 2011 — The Securities and Exchange Commission today published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.Read more