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Selected Press Releases

Protecting the Retail Investor

03/21/2014

Chair Mary Jo White, Consumer Federation of America, 2014 Consumer AssemblyRead more

SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill

03/13/2014

Washington D.C. — The Securities and Exchange Commission today announced enforcement actions against a pair of brokers, an investment advisory firm, and several others involved in a variable annuities scheme to profit from the imminent deaths of terminally ill patients in nursing homes and hospice care.Read more

SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover Company Admits Wrongdoing to Settle SEC Charges

03/13/2014

The Securities and Exchange Commission today charged motion picture company Lions Gate Entertainment Corp. with failing to fully and accurately disclose to investors a key aspect of its effort to thwart a hostile takeover bid.Read more

SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme

03/13/2014

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a promoter behind a platform of affiliated microcap stock promotion websites.Read more

SEC Charges CR Intrinsic Analyst with Insider Trading

03/13/2014

The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge fund advisory firm S.A.C. Capital Advisors with insider trading based on nonpublic information that he obtained about a pair of technology companies. Read more