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Selected Press Releases

SEC Charges Illinois for Misleading Pension Disclosures

03/11/2013

Washington, D.C., March 11, 2013 — The Securities and Exchange Commission today charged the State of Illinois with securities fraud for misleading municipal bond investors about the state’s approach to funding its pension obligations.Read more

SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance

03/11/2013

Washington, D.C., March 11, 2013 — The Securities and Exchange Commission today charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund they manage.Read more

SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters

03/07/2013

Washington, D.C., March 7, 2013 — The Securities and Exchange Commission today charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through his website without researching and evaluating the individual stock offerings. Read more

SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule

03/04/2013

Washington, D.C., March 4, 2013 — The Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for investment advisers and it also issued an Investor Bulletin about the rule, which is designed to protect advisory clients from theft or misuse of their funds and securities.Read more

SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers

03/01/2013

Washington, D.C., March 1, 2013 — The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and investment advisers when they provide personalized investment advice about securities to retail customers.Read more