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Selected Press Releases

SEC Charges N.Y.-Based Brokerage Firm with Defrauding Investors in a Clean Energy Company to Earn Lucrative Commissions

02/15/2013

Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today announced fraud charges against a New York-based brokerage firm and two brokers who allegedly used misleading sales tactics to steer investors toward risky investments in a purported clean energy company so the firm could earn lucrative commissions.Read more

SEC Freezes Assets in Swiss-Based Account Used in Suspected Insider Trading Ahead of Heinz Acquisition

02/15/2013

Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today obtained an emergency court order to freeze assets in a Zurich, Switzerland-based trading account that was used to reap more than $1.7 million from trading in advance of yesterday’s public announcement about the acquisition of H.J. Heinz Company.Read more

SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration Program

02/08/2013

Washington, D.C., Feb. 8, 2013 — The Securities and Exchange Commission today announced charges and an asset freeze against an individual living in Illinois and two companies behind an investment scheme defrauding foreign investors seeking profitable returns and a legal path to U.S. residency through a federal visa program.Read more

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