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Selected Press Releases

SEC Charges Former Technology Company Executive for Role in Rajaratnam Insider Trading Scheme

09/20/2013

The Securities and Exchange Commission today charged a former executive at a Massachusetts-based technology firm for illegally tipping non-public information about the company’s financial predicament as part of the insider trading scheme operated by now-imprisoned Galleon Management hedge fund founder Raj Rajaratnam.Read more

SEC Charges Father and Son in South Carolina for Fraudulent Program Designed to Profit From Fate of Terminally Ill

09/20/2013

The Securities and Exchange Commission today charged a father and son in Lexington, S.C., with operating a fraudulent investment program designed to illegally profit from the deaths of terminally ill individuals.Read more

JPMorgan Chase Agrees to Pay $200 Million and Admits Wrongdoing to Settle SEC Charges - Firm Must Pay $920 Million in Total Penalties in Global Settlement

09/19/2013

The Securities and Exchange Commission today charged JPMorgan Chase & Co. with misstating financial results and lacking effective internal controls to detect and prevent its traders from fraudulently overvaluing investments to conceal hundreds of millions of dollars in trading losses. Read more

SEC Charges Indiana-Based Company and Executives for Defrauding Investors in Renewable Fuel Production Scheme

09/18/2013

The Securities and Exchange Commission today charged a company in Evansville, Ind., and several executives and suppliers for posing to investors as a legitimate biodiesel production business while concealing the extensive illegal activity that accounted for 99 percent of its revenues. Read more

SEC Charges N.Y.-Based Hedge Fund Adviser With Breaching Fiduciary Duty By Participating in Conflicted Principal Transaction

09/18/2013

Washington D.C. — The Securities and Exchange Commission today charged the adviser to a New York-based hedge fund with breaching his fiduciary duty by engineering an undisclosed principal transaction in which he had a financial conflict of interest.Read more