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Selected Press Releases

SEC Charges Denver-Based Businessman with Insider Trading

04/15/2013

Washington, D.C., April 15, 2013 — The Securities and Exchange Commission today charged a prominent Denver-based businessman with insider trading based on confidential information he obtained from the CEO of an oil and gas company that was about to secure a huge investment.Read more

SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm

04/15/2013

Washington, D.C., April 15, 2013 — The Securities and Exchange Commission today charged a former employee at a Connecticut-based brokerage firm with scheming to personally profit from placing unauthorized orders to buy Apple stock. When the scheme backfired, it ultimately caused the firm to cease operations.Read more

SEC Charges Former KPMG Partner and Friend with Insider Trading

04/11/2013

Washington, D.C., April 11, 2013 — The Securities and Exchange Commission today charged the former partner in charge of KPMG's Pacific Southwest audit practice and his friend with insider trading on nonpublic information about firm clients.Read more

Mary Jo White Sworn in as Chair of SEC

04/10/2013

Washington, D.C., April 10, 2013 — The Securities and Exchange Commission today announced that Mary Jo White was sworn in this morning as the 31st Chair of the SEC.Read more

SEC Charges Former Medical Device Company Employee for Illegally Tipping Brother with Quarterly Earnings Data

04/08/2013

Washington, D.C., April 8, 2013 — The Securities and Exchange Commission today charged a former employee at a California-based medical device manufacturer with illegally tipping confidential financial data to her brother, who illegally traded in the company's stock and enabled his hedge fund clients to do the same.Read more