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Selected Press Releases

Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks

06/03/2016

The Securities and Exchange Commission today charged two Rhode Island men with insider trading in the securities of deal targets being pursued by the pharmaceutical company where one of them worked.Read more

SEC: Adviser Steered Investor Money to His Own Companies

06/02/2016

The Securities and Exchange Commission today charged a North Carolina-based investment adviser with defrauding investors by secretly steering portions of real estate-related investments into deals with companies that he owned or operated himself.Read more

SEC Halts EB-5 Scheme Stealing Investments in Cancer Center

06/02/2016

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a husband and wife accused of misusing two-thirds of the money they raised from investors for the purpose of building and operating a new cancer treatment center that would use proton beam radiation to help oncology patients in Southern California.Read more

SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses

06/02/2016

The Securities and Exchange Commission today charged a New York City-based trader with defrauding investors out of millions of dollars by misrepresenting her investment track record, the profitability of her investments, and her use of investor funds. Read more

SEC: Private Equity Fund Adviser Acted As Unregistered Broker

06/01/2016

The Securities and Exchange Commission today announced that a Maryland-based private equity fund advisory firm and its owner have agreed to pay more than $3.1 million to settle charges that they engaged in brokerage activity and charged fees without registering as a broker-dealer and committed other securities law violations. Read more