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Selected Press Releases

SEC Releases Risk Alert on Unauthorized Trading

02/27/2012

The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.Read more

SEC Charges China-Based Executives with Securities Fraud

02/22/2012

The Securities and Exchange Commission today charged two China-based executives with defrauding investors into believing they were investing in a Chinese coal business when in fact they were investing in an empty shell company.Read more

SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector

02/17/2012

The Securities and Exchange Commission today charged John Kinnucan and his Portland, Oregon-based expert consulting firm Broadband Research Corporation with insider trading. The charges stem from the SEC’s ongoing investigation of insider trading involving expert networks.Read more

SEC Tightens Rules on Advisory Performance Fee Charges

02/15/2012

The Securities and Exchange Commission today announced it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees, by excluding the value of the investor’s home from the net worth calculation.Read more

SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case

02/10/2012

The Securities and Exchange Commission today charged a hedge fund manager and his Menlo Park, Calif.-based firm for their involvement in the insider trading ring connected to Raj Rajaratnam and hedge fund advisory firm Galleon Management.Read more