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Selected Press Releases

SEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information

06/06/2014

The Securities and Exchange Commission today charged a New York-based brokerage firm that operates a dark pool alternative trading system with improperly using subscribers’ confidential trading information in marketing its services.Read more

SEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations

06/06/2014

The Securities and Exchange Commission today announced charges against a Los Angeles-based market access provider and two officials accused of violating the agency’s market access rule that requires firms to have adequate risk controls in place before providing customers with access to the market.Read more

SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities

06/03/2014

The Securities and Exchange Commission today charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two ventures without registering them. Read more

SEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients

06/03/2014

The Securities and Exchange Commission today filed an emergency enforcement action to halt an ongoing fraud by an investment adviser based in Albany, N.Y., who is charged with lying to clients about the success of their investments while stealing their money for his personal use.Read more

SEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation

06/03/2014

The Securities and Exchange Commission today announced a whistleblower award of more than $875,000 to be split evenly between two individuals who provided tips and assistance to help the agency bring an enforcement action.Read more