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Selected Press Releases

California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

08/22/2014

The Securities and Exchange Commission today announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a million dollars’ worth of inventory that was shipped to a Florida warehouse but not actually sold.Read more

Bank of America Admits Disclosure Failures to Settle SEC Charges. Bank Also Resolves Separate SEC Case in $245 Million Settlement.

08/21/2014

The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans.Read more

SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition

08/18/2014

The Securities and Exchange Commission today charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial institution.Read more

SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

08/15/2014

The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology to enable environmentally friendly oil-and-gas production.Read more

SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client. Three Others Also Charged After SEC Search of Stock Exchange Records Uncovers Additional Trades by Other Clients of Accountant

08/14/2014

The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the stock of a restaurant company based on confidential information he learned from a client on the board of directors who came to him for tax advice in advance of a tender offer announcement.Read more