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Selected Press Releases

SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading Firm and Co-Owners Charged With Registration Violations

04/04/2014

The Securities and Exchange Commission today charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly traded stocks through an illegal practice known as “layering” or “spoofing.” Read more

SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award

04/04/2014

The Securities and Exchange Commission today announced that the whistleblower who received the first award under the agency’s new whistleblower program will receive an additional $150,000 payout after the SEC collected additional funds in the case.Read more

SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients

04/03/2014

The Securities and Exchange Commission today announced charges against a St. Petersburg, Fla.-based financial services firm for improperly calculating advisory fees and overcharging clients.Read more

SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition

04/03/2014

The Securities and Exchange Commission today charged two friends with insider trading on confidential information from an investment banker about an impending transaction between engineering and construction companies.Read more

SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds

04/03/2014

The Securities and Exchange Commission today announced that it is seeking comment on a recommendation by its Investor Advisory Committee regarding disclosure by target date mutual funds.Read more