Selected Press Releases
SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities
05/09/2012
The Securities and Exchange Commission today charged a Manhattan resident with carrying out a complex market manipulation scheme in biopharmaceutical stocks after he was kicked out of the brokerage industry for fraud.Read moreSEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading
05/08/2012
The Securities and Exchange Commission today announced charges against a Hollywood movie producer along with his brother, cousin, and three others in his circle of friends and business partners for insider trading in the stock of a company for which he served on the board of directors.Read moreSEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading
05/08/2012
The Securities and Exchange Commission today announced charges against a Hollywood movie producer along with his brother, cousin, and three others in his circle of friends and business partners for insider trading in the stock of a company for which he served on the board of directors.Read moreSEC Charges Florida Stock Scheme Mastermind and 10 Cohorts
05/02/2012
The Securities and Exchange Commission today charged a Florida man and 10 cohorts involved in two separate schemes to illegally sell stock, including one that sought to capitalize on circumstances in Haiti following the earthquake that destroyed much of the country's infrastructure in January 2010.Read moreSEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers
05/01/2012
The Securities and Exchange Commission today charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds.Read more