Selected Press Releases

June 5, 2013
Washington, D.C., June 3, 2013 — The Securities and Exchange Commission today announced the second-largest trading suspension in agency history as it continues its "Operation Shell Expel" crackdown...
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...
June 5, 2013
Washington, D.C., June 5, 2013 — The Securities and Exchange Commission today voted unanimously to propose rules that would reform the way that money market funds operate in order to make them less...
June 3, 2013
Washington, D.C., June 3, 2013 — The Securities and Exchange Commission today charged a Bellevue, Wash.-based commercial truck manufacturer and a subsidiary for various accounting deficiencies that...
May 30, 2013
Washington, D.C., May 30, 2013 — The Securities and Exchange Commission today announced that the subject of an enforcement inquiry in Florida has has been criminally charged for obstructing justice...
May 30, 2013
Washington, D.C., May 30, 2013 — The Securities and Exchange Commission today announced that the subject of an enforcement inquiry in Florida has has been criminally charged for obstructing justice...
May 29, 2013
Washington, D.C., May 29, 2013 — The Securities and Exchange Commission today charged France-based oil and gas company Total S.A. with violating the Foreign Corrupt Practices Act (FCPA) by paying $60...
May 29, 2013
Washington, D.C., May 29, 2013 — The Securities and Exchange Commission today charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial...
May 24, 2013
Washington, D.C., May 24, 2013 — The Securities and Exchange Commission today announced fraud charges and an asset freeze against a trader at a Dallas-based investment advisory firm who improperly...
May 23, 2013
Washington, D.C., May 23, 2013 — The Securities and Exchange Commission today charged charged Rockville, Md.-based proxy adviser Institutional Shareholder Services (ISS) for failing to safeguard the...
May 22, 2013
Washington, D.C., May 22, 2013 — The Securities and Exchange Commission today charged the City of South Miami, Fla., with defrauding bond investors about the tax-exempt financing eligibility of a...
May 16, 2013
Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking...
May 15, 2013
Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s...
May 9, 2013
Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income...
May 6, 2013
Washington, D.C., May 6, 2013 — The Securities and Exchange Commission today charged the City of Harrisburg, Pa., with securities fraud for its misleading public statements when its financial...
May 6, 2013
Washington, D.C., May 6, 2013 — The Securities and Exchange Commission today charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit...
May 2, 2013
Washington, D.C., May 2, 2013 — The Securities and Exchange Commission today charged the gatekeepers of a pair of mutual fund trusts with causing untrue or misleading disclosures about the factors...
April 29, 2013
Washington, D.C., April 29, 2013 — The Securities and Exchange Commission today charged that the City of Victorville, Calif., a city official, the Southern California Logistics Airport Authority, and...
April 29, 2013
Washington, D.C., April 29, 2013 — The Securities and Exchange Commission today announced that Greenwich, Conn.-based hedge fund advisory firm Level Global Investors LP has agreed to pay more than $...
April 24, 2013
Washington, D.C., April 24, 2013 — The Securities and Exchange Commission today charged Capital One Financial Corporation and two senior executives for understating millions of dollars in auto loan...
April 23, 2013
Washington, D.C., April 23, 2013 — The Securities and Exchange Commission today announced that investors in a fraudulent investment scheme that offered foreign investors a path to citizenship will...
April 22, 2013
Washington, D.C., April 22, 2013 — The Securities and Exchange Commission today charged a former corporate executive living in South Florida with insider trading based on confidential information...
April 22, 2013
Washington, D.C., April 22, 2013 — The Securities and Exchange Commission today announced that Acting Director George Canellos and former federal prosecutor Andrew Ceresney have been named Co-...
April 18, 2013
Washington, D.C., April 18, 2013 — The Securities and Exchange Commission today charged the CEO of Chicago-based investment advisory firm Simran Capital Management with lying to the California Public...
April 16, 2013
Washington, D.C., April 16, 2013 — The Securities and Exchange Commission today charged two former brokers in Arizona with stealing investments in a project to develop tankless water heaters.

Pages