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Selected Press Releases

SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors


The Securities and Exchange Commission today charged a school district in Indiana and its municipal bond underwriter with falsely stating to bond investors that the school district had been properly providing annual financial information and notices required as part of its prior bond offerings.Read more

SEC Charges Houston-Based Investor Relations Executive With Insider Trading in Stocks of Clients


The Securities and Exchange Commission today charged the former CEO of a Houston-based investor relations firm with insider trading in the securities of multiple firm clients.Read more

SEC Obtains $13.9 Million Penalty Against Rajat Gupta


Washington D.C., July 17, 2013 — The Securities and Exchange Commission today obtained a $13.9 million penalty against former Goldman Sachs board member Rajat K. Gupta for illegally tipping corporate secrets to former hedge fund manager Raj Rajaratnam. Gupta also is permanently barred from serving as an officer or director of a public company.Read more

SEC Halts Texas-Based Forex Trading Scheme


Washington, D.C., July 12, 2013 — The Securities and Exchange Commission today announced an emergency asset freeze against an unregistered money manager and his companies in Plano, Texas, who are charged with defrauding investors in a foreign currency exchange trading scheme.Read more

SEC Approves JOBS Act Requirement to Lift General Solicitation Ban


Commission Also Adopts Rule to Disqualify Bad Actors from Certain Offerings and Proposes Rules to Enable SEC to Monitor New Market and Bolster Investor ProtectionsRead more