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Selected Press Releases

SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams

04/29/2016

The Securities and Exchange Commission today announced that an accounting firm and one of its partners who conducted surprise examinations of client assets at an investment adviser have agreed to settle charges that they performed inadequately as the adviser’s president secretly stole money from accounts belonging to professional athletes. Read more

SEC Announces Financial Fraud Cases

04/19/2016

The Securities and Exchange Commission today announced a pair of financial fraud cases against companies and then-executives accused of various accounting failures that left investors without accurate depictions of company finances. Read more

SEC Charges Litigation Marketing Company With Bilking Retirees

04/15/2016

The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty investment returns from settlement proceeds. Read more

SEC: Town Officials in New York Hid Financial Troubles From Bond Investors

04/14/2016

The Securities and Exchange Commission today announced fraud charges against Ramapo, N.Y., its local development corporation, and four town officials who allegedly hid a deteriorating financial situation from their municipal bond investors. Read more

SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings

04/14/2016

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Vermont-based ski resort and related businesses allegedly misusing millions of dollars raised through investments solicited under the EB-5 Immigrant Investor Program. Read more