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SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors

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 providing annual financial information and notices required as part of its prior bond offerings.Read more


SEC Charges Houston-Based Investor Relations Executive With Insider Trading in Stocks of Clients

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.Read more


SEC Obtains $13.9 Million Penalty Against Rajat Gupta

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 secrets to former hedge fund manager Raj Rajaratnam. Gupta also is permanently barred from serving as an officer or director of a public company.Read more


SEC Halts Texas-Based Forex Trading Scheme

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 charged with defrauding investors in a foreign currency exchange trading scheme.Read more


SEC Approves JOBS Act Requirement to Lift General Solicitation Ban

Commission Also Adopts Rule to Disqualify Bad Actors from Certain Offerings and Proposes Rules to Enable SEC to Monitor New Market and Bolster Investor ProtectionsRead more