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Selected Press Releases

SEC Staff to Host Decimalization Roundtable

12/03/2012

Washington, D.C., Dec. 3, 2012 — The Securities and Exchange Commission today announced that its staff will host a roundtable early next year to discuss the impact of decimal-based stock trading on small and mid-sized companies, market professionals, investors, and U.S. securities markets.Read more

SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process

11/30/2012

Washington, D.C., Nov. 30, 2012 — The Securities and Exchange Commission today charged a Connecticut-based business executive with insider trading ahead of the sale of Patriot Capital Funding Group based on nonpublic information he learned at the helm of a firm involved in the bidding process.Read more

Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock

11/30/2012

Washington, D.C., Nov. 30, 2012 — The Securities and Exchange Commission today announced insider trading charges against a Brazilian ex-banker for his role in a scheme to illegally trade Burger King securities. The SEC previously charged a Brazilian citizen working in the Miami office of Wells Fargo with tipping him the inside information.Read more

SEC Charges Chicago-Based Investment Adviser With Defrauding Investors In Failing Private Equity Fund

11/29/2012

Washington, D.C., Nov. 29, 2012 — The Securities and Exchange Commission today charged a Chicago-based investment adviser and his firm with defrauding clients and others who were promised returns that would “beat the market” for investing in a private equity fund they managed. What investors didn’t know was the fund was failing and they were being used to raise money to repay promissory notes to earlier investors.Read more

SEC Charges Two Brokers with Insider Trading Ahead of IBM-SPSS Merger for $1 Million Profit

11/29/2012

Washington, D.C., Nov. 29, 2012 — The Securities and Exchange Commission today charged two retail brokers who formerly worked at a Connecticut-based broker-dealer with insider trading on nonpublic information ahead of IBM Corporation’s acquisition of SPSS Inc.Read more