Selected Press Releases

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...
July 31, 2013
Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of amendments to the net capital, customer protection, books and records, and notification rules...
July 31, 2013
Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of rules designed to substantially increase protections for investors who turn their money and...
July 31, 2013
Washington D.C., July 31, 2013 — The Securities and Exchange Commission today sanctioned two investment advisory firms for failing to seek best execution on client trades placed with their in-house...
July 30, 2013
The Securities and Exchange Commission today charged the tipper of confidential information to a S.A.C. Capital portfolio manager who has been charged with insider trading.
July 30, 2013
Washington D.C., July 30, 2013 — The Securities and Exchange Commission today charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider...
July 29, 2013
The Securities and Exchange Commission today charged a school district in Indiana and its municipal bond underwriter with falsely stating to bond investors that the school district had been properly...
July 26, 2013
The Securities and Exchange Commission today charged the former CEO of a Houston-based investor relations firm with insider trading in the securities of multiple firm clients.
July 17, 2013
Washington D.C., July 17, 2013 — The Securities and Exchange Commission today obtained a $13.9 million penalty against former Goldman Sachs board member Rajat K. Gupta for illegally tipping corporate...
July 12, 2013
Washington, D.C., July 12, 2013 — The Securities and Exchange Commission today announced an emergency asset freeze against an unregistered money manager and his companies in Plano, Texas, who are...
July 10, 2013
Commission Also Adopts Rule to Disqualify Bad Actors from Certain Offerings and Proposes Rules to Enable SEC to Monitor New Market and Bolster Investor Protections
July 3, 2013
Washington, D.C., July 3, 2013 — The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of traders using foreign accounts to reap approximately $4.6...
July 3, 2013
Washington, D.C., July 3, 2013 — The Securities and Exchange Commission today announced charges against eight Argentine citizens who unlawfully sold millions of shares of Biozoom, Inc. in...
July 2, 2013
Washington, D.C., July 2, 2013 — The Securities and Exchange Commission today announced three new initiatives that will build on its Division of Enforcement's ongoing efforts to concentrate resources...
June 26, 2013
Washington, D.C., June 26, 2013 — The Securities and Exchange Commission today announced that it filed fraud charges on Tuesday against Burbank, Calif.-based Imaging3, Inc., and its founder and chief...
June 10, 2013
The Securities and Exchange Commission today charged the leader of a Detroit-based investment adviser for stealing nearly $3.1 million from the pension fund that the firm manages for the city's...
June 7, 2013
Washington, D.C., June 7, 2013 — The Securities and Exchange Commission today charged a South Pasadena, Calif.-based wealth management company and a former fund manager with insider trading on non-...
June 6, 2013
Washington, D.C., June 6, 2013 — The Securities and Exchange Commission today announced an emergency court order to freeze the assets of a trader in Bangkok, Thailand, who made more than $3 million...
June 6, 2013
Washington, D.C., June 6, 2013 — The Securities and Exchange Commission today warned investors about the potential risks of investing in binary options and has charged a Cyprus-based company with...
June 5, 2013
Washington, D.C., June 5, 2013 — The Securities and Exchange Commission today charged a microcap company that was ensnared in an SEC trading suspension proactively targeting questionable penny stocks...

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