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Selected Press Releases

SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity

01/29/2013

Washington, D.C., Feb. 4, 2013 — The Securities and Exchange Commission today charged a husband and wife who raised millions of dollars selling investments for a purported charitable organization in Tallahassee, Fla., while defrauding senior citizens and significantly exaggerating the amount of contributions actually made to charity.Read more

SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies

01/28/2013

Washington, D.C., Jan. 28, 2013 — The Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies being held this Friday, February 1.Read more

SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities

01/28/2013

Washington, D.C., Jan. 28, 2013 — The Securities and Exchange Commission today charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities (MBS) in the wake of the financial crisis so he could generate additional revenue for his firm.Read more

SEC Charges Florida-Based Financial Adviser with Illegally Tipping Inside Information

01/25/2013

Washington, D.C., Jan. 25, 2013 — The Securities and Exchange Commission today charged a financial adviser in Boca Raton, Fla., with illegally tipping inside information he learned about the upcoming sale of a pharmaceutical company in exchange for $35,000 and a jet ski dock.Read more

Egan-Jones and Founder Sean Egan Agree to 18-Month Bars from Rating Asset-Backed and Government Securities Issuers as NRSRO

01/22/2013

Washington, D.C., Jan. 22, 2013 — The Securities and Exchange Commission today announced that Egan-Jones Ratings Company (EJR) and its president Sean Egan have agreed to settle charges that they made willful and material misstatements and omissions when registering with the SEC to become a Nationally Recognized Statistical Rating Organization (NRSRO) for asset-backed securities and government securities.Read more