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Selected Press Releases

SEC Charges N.Y.-Based Hedge Fund Adviser With Breaching Fiduciary Duty By Participating in Conflicted Principal Transaction

09/18/2013

Washington D.C. — The Securities and Exchange Commission today charged the adviser to a New York-based hedge fund with breaching his fiduciary duty by engineering an undisclosed principal transaction in which he had a financial conflict of interest.Read more

SEC Charges Purported Money Manager in New York Who Schemed Investors and Lied to SEC Examiners

09/13/2013

Washington D.C. — The Securities and Exchange Commission today charged the owner of a New York-based investment advisory firm with defrauding investors while grossly exaggerating the amount of assets under his management. Read more

SEC Charges Operator of Miami-Dade County’s Largest Hospital With Misleading Investors About Financial Condition

09/13/2013

Washington D.C. — The Securities and Exchange Commission today charged the operator of the largest hospital in Miami-Dade County with misleading investors about the extent of its deteriorating financial condition prior to an $83 million bond offering.Read more

SEC Halts Florida-Based Prime Bank Investment Scheme

09/09/2013

Washington D.C. — The Securities and Exchange Commission today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme that promised exorbitant returns from a purported international trading program.Read more

SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules

09/06/2013

Washington D.C. — The Securities and Exchange Commission today charged the former head of investor relations for a Tempe, Ariz.-based solar energy company with violating rules requiring fair disclosure of information when he alerted certain analysts and investors about an upcoming major development.Read more