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Selected Press Releases

SEC Charges New York-Based Audit Firm and Four Accountants for Failures in Audits of China-Based Companies

11/07/2013

The Securities and Exchange Commission today announced sanctions against a New York-based audit firm, its founder, two other partners, and an audit manager for their roles in the failed audits of three China-based companies publicly traded in the U.S.Read more

SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering

11/07/2013

The Securities and Exchange Commission today charged RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, with misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering. RBS agreed to settle the matter and pay more than $150 million, which the SEC will use to compensate investors for harm suffered as a result of RBS’s conduct. Read more

SEC Halts Ponzi Scheme Involving New Zealand Companies

11/04/2013

The Securities and Exchange Commission today announced an emergency asset freeze to halt a Ponzi scheme involving U.S. and New Zealand-based companies peddling sham investment opportunities ranging from a bank trading program to kidney dialysis clinics.Read more

SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme

11/01/2013

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a group of Pasadena, Calif.-based companies at the center of an ongoing real estate investment scheme.Read more

SEC Rewards Whistleblower With $150,000 Payout

10/30/2013

The Securities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. Read more