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Selected Press Releases

SEC Completes Muni-Underwriter Enforcement Sweep. 72 Firms Charged Since June 2015

02/02/2016

The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. The actions conclude charges against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. In all, 72 underwriters have been charged under the voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents.Read more

SEC Charges Software Company With FCPA Violations

02/01/2016

The Securities and Exchange Commission today announced that software manufacturer SAP SE has agreed to give up $3.7 million in sales profits to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) when procuring business in Panama.Read more

Barclays, Credit Suisse Charged With Dark Pool Violations. Firms Collectively Paying More Than $150 Million to Settle Cases

01/31/2016

The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.Read more

Hedge Fund Manager Agrees to Reimburse Investor Losses

01/28/2016

The Securities and Exchange Commission today announced that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have agreed to settle charges that they misled investors about a fund’s investment strategy and historical performance. They will reimburse investors $2.877 million in losses.Read more

SEC: Alternative Fund Manager Overcharged Fees, Misled Investors

01/19/2016

The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how it valued certain assets.Read more