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Selected Press Releases

SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition

05/12/2014

The Securities and Exchange Commission today charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead of a major acquisition announcement.Read more

SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results

05/07/2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a New York-based investment advisory firm and two executives for distributing falsified performance results to prospective investors in two hedge funds they managed. Read more

SEC Charges Ohio-Based Investment Adviser and President for Fraudulently Hiding Account Shortfall

05/05/2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Columbus, Ohio-based investment advisory firm and its president for repeatedly hiding a shortfall of more than $700,000 in client assets. Read more

SEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies

05/05/2014

The Securities and Exchange Commission today charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to bring a pair of China-based companies into the U.S. markets so they could manipulate trading and reap millions of dollars in illicit profits.Read more

SEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors

04/30/2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Utah-based retirement plan administrator who defrauded investors in self-directed individual retirement accounts (IRAs), causing them to lose millions of dollars of savings.Read more