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Selected Press Releases

SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme

06/12/2012

The Securities and Exchange Commission today charged 14 sales agents who misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million Ponzi scheme.Read more

OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis

06/06/2012

The Securities and Exchange Commission today charged investment management company OppenheimerFunds Inc. and its sales and distribution arm with making misleading statements about two of its mutual funds struggling in the midst of the credit crisis in late 2008.Read more

SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes

06/04/2012

The Securities and Exchange Commission today charged several penny stock companies and their officers as well as three penny stock promoters involved in various stock schemes in which bribes and kickbacks were paid to hype microcap stocks and illegally generate stock sales.Read more

Miami Hedge Fund Adviser Charged for Misleading Investors About "Skin in the Game" and Related-Party Deals

05/29/2012

The Securities and Exchange Commission today charged a Miami-based hedge fund adviser for deceiving investors about whether its executives had personally invested in a Latin America-focused hedge fund.Read more

SEC Halts Fraudulent Investment Scheme by New York-Based Fund Manager

05/25/2012

The Securities and Exchange Commission today announced charges against a New York-based fund manager and his two firms for luring investors into a trading program that would purportedly maximize their profits but instead spent their money in unauthorized ways.Read more