Selected Press Releases

September 26, 2013
The Securities and Exchange Commission today charged the operators of a South Florida-based boiler room scheme with defrauding seniors and other investors they pressured into purchasing stock in a...
September 26, 2013
The Securities and Exchange Commission today charged the former CEO of an education services provider based in China with stealing tens of millions of dollars from investors in a U.S. public offering...
September 26, 2013
The Securities and Exchange Commission today charged the longtime accountant for many of Bernard Madoff’s oldest and wealthiest clients for his role in the creation of false books and records used in...
September 26, 2013
The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and its sole owner charged with perpetrating a Ponzi scheme against thousands...
September 24, 2013
The Securities and Exchange Commission today charged two former bank executives at Illinois-based Mercantile Bancorp with failing to recognize in financial statements a probable loss on one of the...
September 23, 2013
The Securities and Exchange Commission today announced charges against 10 former brokers at an Albany, N.Y.-based firm at the center of a $125 million investment scheme for which the co-owners have...
September 23, 2013
The Securities and Exchange Commission today charged a Manhattan-based independent filmmaker with insider trading on confidential information about impending takeovers of two biotechnology companies.
September 23, 2013
The Securities and Exchange Commission today charged TD Bank and a former executive with violating securities laws in connection with a massive South Florida-based Ponzi scheme conducted by Scott...
September 23, 2013
The Securities and Exchange Commission today charged a former executive at Qualcomm Inc. and his former financial advisor with insider trading ahead of major announcements by the San Diego-based...
September 20, 2013
The Securities and Exchange Commission today charged the owner of a New York-based advisory firm with insider trading in his own account and client accounts based on non-public information in advance...
September 20, 2013
The Securities and Exchange Commission today charged a former executive at a Massachusetts-based technology firm for illegally tipping non-public information about the company’s financial predicament...
September 20, 2013
The Securities and Exchange Commission today charged a father and son in Lexington, S.C., with operating a fraudulent investment program designed to illegally profit from the deaths of terminally ill...
September 19, 2013
The Securities and Exchange Commission today charged JPMorgan Chase & Co. with misstating financial results and lacking effective internal controls to detect and prevent its traders from...
September 18, 2013
The Securities and Exchange Commission today charged a company in Evansville, Ind., and several executives and suppliers for posing to investors as a legitimate biodiesel production business while...
September 18, 2013
Washington D.C. — The Securities and Exchange Commission today charged the adviser to a New York-based hedge fund with breaching his fiduciary duty by engineering an undisclosed principal transaction...
September 13, 2013
Washington D.C. — The Securities and Exchange Commission today charged the owner of a New York-based investment advisory firm with defrauding investors while grossly exaggerating the amount of assets...
September 13, 2013
Washington D.C. — The Securities and Exchange Commission today charged the operator of the largest hospital in Miami-Dade County with misleading investors about the extent of its deteriorating...
September 9, 2013
Washington D.C. — The Securities and Exchange Commission today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme...
September 6, 2013
Washington D.C. — The Securities and Exchange Commission today charged the former head of investor relations for a Tempe, Ariz.-based solar energy company with violating rules requiring fair...
September 5, 2013
Washington D.C. — The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2...
August 30, 2013
The Securities and Exchange Commission today announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice...
August 21, 2013
The Securities and Exchange Commission today announced charges against a North Carolina-based investment adviser and its former owner for misleading an investment fund’s board of directors about the...
August 20, 2013
Washington D.C., Aug. 20, 2013 —The Securities and Exchange Commission today charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance...
August 19, 2013
Washington D.C., Aug. 19, 2013 — The Securities and Exchange Commission today announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners have...
August 1, 2013
Washington D.C., Aug. 1, 2013 — The Securities and Exchange Commission today charged a purported biofuel company in Chicago and a dozen individuals in a pump-and-dump scheme that generated $4.4...

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