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Selected Press Releases

SEC Charges 10 in Insider Trading Ring Around Investment Banker’s Illegal Tips on Impending Mergers

12/05/2012

Washington, D.C., Dec. 5, 2012 — The Securities and Exchange Commission today charged an investment banker who was primarily based in Charlotte, N.C., and nine others involved in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers.Read more

SEC Staff to Host Decimalization Roundtable

12/03/2012

Washington, D.C., Dec. 3, 2012 — The Securities and Exchange Commission today announced that its staff will host a roundtable early next year to discuss the impact of decimal-based stock trading on small and mid-sized companies, market professionals, investors, and U.S. securities markets.Read more

SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process

11/30/2012

Washington, D.C., Nov. 30, 2012 — The Securities and Exchange Commission today charged a Connecticut-based business executive with insider trading ahead of the sale of Patriot Capital Funding Group based on nonpublic information he learned at the helm of a firm involved in the bidding process.Read more

Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock

11/30/2012

Washington, D.C., Nov. 30, 2012 — The Securities and Exchange Commission today announced insider trading charges against a Brazilian ex-banker for his role in a scheme to illegally trade Burger King securities. The SEC previously charged a Brazilian citizen working in the Miami office of Wells Fargo with tipping him the inside information.Read more

SEC Charges Chicago-Based Investment Adviser With Defrauding Investors In Failing Private Equity Fund

11/29/2012

Washington, D.C., Nov. 29, 2012 — The Securities and Exchange Commission today charged a Chicago-based investment adviser and his firm with defrauding clients and others who were promised returns that would “beat the market” for investing in a private equity fund they managed. What investors didn’t know was the fund was failing and they were being used to raise money to repay promissory notes to earlier investors.Read more