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Selected Press Releases

SEC Charges Connecticut-Based Adviser for “Skin in the Game” Misstatements About CDOs

12/17/2012

Washington, D.C., Dec. 17, 2012 — The Securities and Exchange Commission today charged a Connecticut-based investment adviser with falsely stating to clients that it was co-investing alongside them in two collateralized debt obligations (CDO).Read more

Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks

12/12/2012

Washington, D.C., Dec. 12, 2012 — The Securities and Exchange Commission today charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 million in illicit profits. He and his firms have agreed to pay $44 million to settle the SEC’s charges.Read more

SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes

12/11/2012

Washington, D.C., Dec. 11, 2012 — The Securities and Exchange Commission today charged a New York-based fund manager with conducting a pair of illegal trading schemes to financially benefit his investment fund Octagon Capital Partners LP.Read more

SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation

12/10/2012

Washington, D.C., Dec. 10, 2012 — The Securities and Exchange Commission today announced charges against eight former members of the boards of directors overseeing five Memphis, Tenn.-based mutual funds for violating their asset pricing responsibilities under the federal securities laws.Read more

SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws

12/10/2012

Washington, D.C., Dec. 10, 2012 — The Securities and Exchange Commission today charged a New Jersey-based consultant with violating securities laws and defrauding some investors while helping Chinese companies gain access to the U.S. capital markets.Read more