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Selected Press Releases

SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds

10/17/2014

The Securities and Exchange Commission today charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised from investors for a Caribbean vacation and plastic surgery.Read more

SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices - First High Frequency Trading Manipulation Case

10/16/2014

The Securities and Exchange Commission today sanctioned a New York City-based high frequency trading firm for placing a large number of aggressive, rapid-fire trades in the final two seconds of almost every trading day during a six-month period to manipulate the closing prices of thousands of NASDAQ-listed stocks. This marks the first high frequency trading manipulation case.Read more

SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases - New Investigative Approaches and Innovative Use of Data and Analytical Tools Help Drive Successful Enforcement Year

10/16/2014

The Securities and Exchange Commission today announced that in fiscal year 2014, new investigative approaches and the innovative use of data and analytical tools contributed to a very strong year for enforcement marked by cases that spanned the securities industry. Read more

SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company

10/14/2014

The Securities and Exchange Commission today announced insider trading charges against a Massachusetts man who allegedly tipped his friend with nonpublic information about potential acquisition targets of the pharmaceutical company where he worked.Read more

SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings

10/09/2014

The Securities and Exchange Commission today announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers.Read more