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Selected Press Releases

SEC Halts Ponzi Scheme Involving New Zealand Companies

11/04/2013

The Securities and Exchange Commission today announced an emergency asset freeze to halt a Ponzi scheme involving U.S. and New Zealand-based companies peddling sham investment opportunities ranging from a bank trading program to kidney dialysis clinics.Read more

SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme

11/01/2013

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a group of Pasadena, Calif.-based companies at the center of an ongoing real estate investment scheme.Read more

SEC Rewards Whistleblower With $150,000 Payout

10/30/2013

The Securities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. Read more

SEC Charges Three Firms With Violating Custody Rule

10/28/2013

The Securities and Exchange Commission today sanctioned three SEC-registered investment advisory firms for violating the “custody rule” that requires them to meet certain standards when maintaining custody of their clients’ funds or securities.Read more

SEC Charges Stryker Corporation With FCPA Violations

10/24/2013

The Securities and Exchange Commission today charged a Michigan-based medical technology company with violating the Foreign Corrupt Practices Act (FCPA) when subsidiaries in five different countries bribed doctors, health care professionals, and other government-employed officials in order to obtain or retain business.Read more