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Selected Press Releases

SEC Charges Colorado Man in Scheme Targeting Elderly Investors

11/21/2013

The Securities and Exchange Commission today charged a self-described institutional trader in Colorado with defrauding elderly investors into making purported investments in government-secured bonds as he used their money to pay his mortgage.Read more

SEC Charges Hedge Fund Trader With Insider Trading in Carter’s Stock

11/14/2013

The Securities and Exchange Commission today announced insider trading charges against a New York-based investment professional who used nonpublic information about youth clothing company Carter’s Inc. to give the hedge fund where he worked a $3.2 million trading edge.Read more

SEC Announces First Deferred Prosecution Agreement With Individual

11/12/2013

The Securities and Exchange Commission today announced a deferred prosecution agreement with a former hedge fund administrator who helped the agency take action against a hedge fund manager who stole investor assets.Read more

SEC Charges New York-Based Audit Firm and Four Accountants for Failures in Audits of China-Based Companies

11/07/2013

The Securities and Exchange Commission today announced sanctions against a New York-based audit firm, its founder, two other partners, and an audit manager for their roles in the failed audits of three China-based companies publicly traded in the U.S.Read more

SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering

11/07/2013

The Securities and Exchange Commission today charged RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, with misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering. RBS agreed to settle the matter and pay more than $150 million, which the SEC will use to compensate investors for harm suffered as a result of RBS’s conduct. Read more