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Selected Press Releases

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

SEC Charges Two Attorneys With Defrauding Escrow Clients

05/13/2016

The Securities and Exchange Commission today announced fraud charges against two attorneys accused of making undisclosed risky investments and in some instances outright stealing money they obtained in escrow accounts from small business owners seeking commercial loans. Read more

Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation

05/13/2016

The Securities and Exchange Commission today announced a whistleblower award of more than $3.5 million to a company employee whose tip bolstered an ongoing investigation with additional evidence of wrongdoing that strengthened the SEC’s case. Read more