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Selected Press Releases

SEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments

04/07/2015

The Securities and Exchange Commission today charged Los Angeles-based Pacific West Capital Group Inc. and its owner Andrew B. Calhoun IV with fraud in the sale of “life settlement” investments. Read more

SEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme

04/06/2015

The Securities and Exchange Commission today charged 12 companies and six individuals with defrauding investors in a scheme involving applications to the Federal Communications Commission (FCC) for cellular spectrum licenses.Read more

SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company

03/27/2015

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering despite obtaining a due diligence report indicating that the China-based company’s offering materials contained false information. Read more

SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

03/26/2015

The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the SEC as a broker-dealer as required under the federal securities laws.Read more

Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions

03/13/2015

The Securities and Exchange Commission today charged eight officers, directors, or major shareholders for failing to update their stock ownership disclosures to reflect material changes, including steps to take the companies private. Each of the respondents, without admitting or denying the SEC’s allegations, agreed to settle the proceedings by paying a financial penalty.Read more