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Selected Press Releases

SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S.

06/10/2016

The Securities and Exchange Commission today announced that Ethiopia’s electric utility has agreed to pay nearly $6.5 million to settle charges that it violated U.S. securities laws by failing to register bonds it offered and sold to U.S residents of Ethiopian descent. Read more

SEC Issues $17 Million Whistleblower Award

06/09/2016

The Securities and Exchange Commission today announced a whistleblower award of more than $17 million to a former company employee whose detailed tip substantially advanced the agency’s investigation and ultimate enforcement action.Read more

SEC: Morgan Stanley Failed to Safeguard Customer Data

06/08/2016

The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online.Read more

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