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Selected Press Releases

SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme

08/29/2012

The Securities and Exchange Commission today charged two former brokers in Miami with fraud for overcharging customers approximately $36 million by using hidden markup fees on structured notes transactions.Read more

SEC Freezes Assets of Insider Traders in Nexen Acquisition

08/27/2012

The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of traders using trading accounts in Hong Kong and Singapore to reap more than $13 million in illegal profits by trading in advance of this week’s public announcement that China-based CNOOC Ltd. agreed to acquire Canada-based Nexen Inc.Read more

SEC Charges Phony Company President for Role in Facilitating Fake Investment in Penny Stock Company

08/25/2012

The Securities and Exchange Commission today charged a New York man for his role in a scheme to disseminate news of a fake investment to boost a struggling penny stock company.Read more

SEC Charges New York-Based Firm and Owner in Penny Stock Scheme

08/22/2012

The Securities and Exchange Commission today charged a New York-based firm and its owner with conducting a penny stock scheme in which they bought billions of stock shares from small companies and illegally resold those shares in the public market.Read more

SEC Brings Charges in Puerto Rico-Based Ponzi Scheme Targeting Evangelical Christians and Factory Workers

08/21/2012

The Securities and Exchange Commission today charged a Puerto Rico resident and his company with conducting a Ponzi scheme that targeted evangelical Christians and factory workers in Puerto Rico.Read more