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Selected Press Releases

Stop Order Proceedings Instituted Against Caribbean Pacific Marketing

10/29/2012

Washington, D.C., Oct. 29, 2012 — The Securities and Exchange Commission today announced that it has instituted proceedings to determine whether to issue an order that would prevent sales of shares in Caribbean Pacific Marketing, Inc., based on allegations that the company's disclosure is misleading.Read more

SEC Charges Denver-Based Insurance Executive with Insider Trading

10/26/2012

Washington, D.C., Oct. 26, 2012 — The Securities and Exchange Commission today charged an insurance company CEO with insider trading based on confidential information he obtained in advance of a private investment firm acquiring a significant stake in a Denver-based oil and gas company.Read more

SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme

10/26/2012

Washington, D.C., Oct. 26, 2012 — The Securities and Exchange Commission today charged a former senior executive at a Silicon Valley technology company for illegally tipping convicted hedge fund manager Raj Rajaratnam with nonpublic information that allowed the Galleon hedge funds to make nearly $1 million in illicit profits.Read more

Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges

10/18/2012

Washington, D.C., Oct. 18, 2012 — The Securities and Exchange Commission today announced that a Hong Kong-based firm charged with insider trading in July has agreed to settle the case by paying more than $14 million, which is double the amount of its alleged illicit profits. The proposed settlement is subject to the approval of Judge Richard J. Sullivan of the U.S. District Court for the Southern District of New York.Read more

SEC Charges Trio in ".44 MAGNUM" Investment Scheme

10/18/2012

Washington, D.C., Oct. 18, 2012 — The Securities and Exchange Commission today charged a purported money manager and two of his chief marketers with defrauding investors in a fake company he created that bore a similar name to what was formerly one of Germany's largest banks.Read more