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Selected Press Releases

SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account

01/29/2014

The Securities and Exchange Commission today announced charges against the former director of internal audit at a Chicago-based health care information technology company for insider trading ahead of the release of its financial results and making more than a quarter-million dollars in illicit profits.Read more

SEC Charges Legg Mason Affiliate With Defrauding Clients

01/27/2014

The Securities and Exchange Commission today announced sanctions against a California-based investment adviser for concealing investor losses that resulted from a coding error and engaging in cross trading that favored some clients over others.Read more

SEC Obtains Settlements in Penny Stock “Shell Packaging” Case

01/15/2014

The Securities and Exchange Commission today announced nearly $300,000 in settlements against a Virginia-based “shell packaging” company and its CEO who were charged with facilitating a penny stock scheme as well as a Bronx, N.Y.-based stock promoter who received proceeds from the fraud.Read more

SEC Charges Diamond Foods and Two Former Executives in Accounting Scheme to Boost Earnings Growth

01/09/2014

The Securities and Exchange Commission today charged San Francisco-based snack foods company Diamond Foods and two former executives for their roles in an accounting scheme to falsify walnut costs in order to boost earnings and meet estimates by stock analysts. Read more

SEC Charges New York-Based Brokerage Firm for Ignoring Red Flags in Soft Dollar Scheme

12/26/2013

The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying more than $400,000 in soft dollars for expenses that an investment adviser had not properly disclosed to clients. Read more