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Selected Press Releases

SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower. First SEC Case Under New Authority to Bring Anti-Retaliation Enforcement Actions.

06/16/2014

The Securities and Exchange Commission today charged an Albany, N.Y.-based hedge fund advisory firm with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the SEC. This is the first time the SEC has filed a case under its new authority to bring anti-retaliation enforcement actions. The SEC also charged the firm’s owner with causing the improper principal transactions. Read more

SEC Charges Four California Residents in $12 Million Insider Trading Scheme

06/13/2014

The Securities and Exchange Commission today charged four Northern California residents with insider trading in Ross Stores stock options based on nonpublic information about monthly sales results leaked by one of the retailer’s employees.Read more

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