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Selected Press Releases

SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements

02/03/2014

The Securities and Exchange Commission today announced the filing of stop order proceedings against 20 purported mining companies believed to have included false information in their registration statements.Read more

SEC Charges Two College Professors in Naked Short Selling Scheme Data Analysis by SEC Staff Breaks Case

01/31/2014

The Securities and Exchange Commission today charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits.Read more

SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account

01/29/2014

The Securities and Exchange Commission today announced charges against the former director of internal audit at a Chicago-based health care information technology company for insider trading ahead of the release of its financial results and making more than a quarter-million dollars in illicit profits.Read more

SEC Charges Legg Mason Affiliate With Defrauding Clients

01/27/2014

The Securities and Exchange Commission today announced sanctions against a California-based investment adviser for concealing investor losses that resulted from a coding error and engaging in cross trading that favored some clients over others.Read more

SEC Obtains Settlements in Penny Stock “Shell Packaging” Case

01/15/2014

The Securities and Exchange Commission today announced nearly $300,000 in settlements against a Virginia-based “shell packaging” company and its CEO who were charged with facilitating a penny stock scheme as well as a Bronx, N.Y.-based stock promoter who received proceeds from the fraud.Read more