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03/09/2016

SEC: Tech Company Misled Investors About Key Product

The Securities and Exchange Commission today announced that a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors about the production status and sales agreements for a key product.Read more

03/08/2016

SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past

The Securities and Exchange Commission today announced fraud charges against an unregistered fund manager accused of hiding his checkered past while providing false and misleading data to investors and an independent research firm.Read more

03/08/2016

SEC Awarding Nearly $2 Million to Three Whistleblowers

The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. Read more

03/07/2016

SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering

The Securities and Exchange Commission today charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. Read more

03/01/2016

SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business

The Securities and Exchange Commission today announced that Qualcomm Incorporated has agreed to pay $7.5 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by hiring relatives of Chinese government officials deciding whether to select the company’s mobile technology products amid increasing competition in the international telecommunications market. Read more