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Selected Press Releases

SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years

07/12/2016

The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges that a computer coding error caused the firm to provide the agency with incomplete “blue sheet” information about trades it executed.Read more

SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud

06/24/2016

The Securities and Exchange Commission today charged four companies and eight individuals in an $80 million oil and gas fraud orchestrated by a Dallas man who calls himself the “Frack Master” for his purported expertise in hydraulic fracturing. Read more

Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk

06/23/2016

The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges that it misused customer cash to generate profits for the firm and failed to safeguard customer securities from the claims of its creditors. Read more

Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes

06/23/2016

The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $10 million penalty to settle charges that it was responsible for misleading statements in offering materials provided to retail investors for structured notes linked to a proprietary volatility index. Read more

SEC Sues UK-Based Trader for Account Intrusion Scheme

06/22/2016

The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online brokerage accounts of U.S. investors to make unauthorized stock trades that allowed him to profit on trades in his own account.Read more