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News and Alerts

02/16/2016

SEC: Tech Company Bribed Chinese Officials

The Securities and Exchange Commission today announced that a Massachusetts-based technology company and its Chinese subsidiaries agreed to pay more than $28 million to settle parallel civil and criminal actions involving violations of the Foreign Corrupt Practices Act (FCPA). Read more

02/11/2016

SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts

The Securities and Exchange Commission today charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a medical device company and pocketing investors’ money. Read more

02/09/2016

Updated Investor Alert: SEC Warns of Government Impersonators

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission, including scams that make phony claims of endorsement by senior officials at the SEC.Read more

02/05/2016

SEC Charges Company Executive With Insider Trading

The Securities and Exchange Commission today charged an executive at Stamford, Conn.-based electronics company Harman International Industries with insider trading in the company’s stock. Read more

02/04/2016

SEC: Miami Firm Broke Anti-Money Laundering Protocols

The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities without verifying the identities of the non-U.S. citizens who beneficially owned them. Read more