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Selected Press Releases

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

SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors

06/02/2014

The Securities and Exchange Commission today charged a charter school operator in Chicago with defrauding investors in a $37.5 million bond offering for school construction by making materially misleading statements about transactions that presented a conflict of interest.Read more

SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

05/29/2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Chicago-based investment fund manager accused of stealing money he raised from investors to pay personal and business expenses.Read more

SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

05/28/2014

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC examination of the firm.Read more