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Selected Press Releases

SEC Charges Public Relations Executive With Insider Trading in Client's Stock

09/05/2012

The Securities and Exchange Commission today charged the CEO of a Los Angeles-based public relations firm with insider trading on nonpublic information she learned from a client that was about to acquire a bank in a deal assisted by the Federal Deposit Insurance Corporation (FDIC).Read more

SEC Charges California Man for Illegal Tips to Hedge Fund Manager

09/04/2012

The Securities and Exchange Commission today charged a California man with illegally tipping a hedge fund manager with inside information about Nvidia Corporation’s quarterly earnings that he learned from his friend who worked at the company.Read more

SEC Issues Financial Literacy Study Mandated by the Dodd-Frank Act

08/30/2012

The Securities and Exchange Commission today issued a staff study with findings on what investors want to know about financial professionals and investment products and services, and when and how investors want to receive such information.Read more

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