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Selected Press Releases

SEC Charges N.Y.-Based Brokerage Firm with Layering

09/25/2012

The Securities and Exchange Commission today charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled.Read more

SEC Charges Three in North Carolina With Insider Trading - Early Cooperator Receives Lesser Penalty

09/20/2012

The Securities and Exchange Commission today charged a former member of the board of directors at a North Carolina-based insurance company with illegally tipping inside information about an impending merger.Read more

SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds

09/19/2012

The Securities and Exchange Commission today announced charges against a private fund manager and his Atlanta-based investment advisory firm for defrauding investors in a purported “fund-of-funds” and then trying to hide trading losses by creating new private funds to make money to pay back the original fund investors in Ponzi-like fashion.Read more

SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds

09/19/2012

The Securities and Exchange Commission today announced charges against a private fund manager and his Atlanta-based investment advisory firm for defrauding investors in a purported “fund-of-funds” and then trying to hide trading losses by creating new private funds to make money to pay back the original fund investors in Ponzi-like fashion.Read more

SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings

09/18/2012

The Securities and Exchange Commission today charged the co-founder of a Chicago-based investment firm with misleading investors in two private equity offerings, and charged the other co-founder with supervisory failures related to the offerings.Read more