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Selected Press Releases

SEC CHARGES TWO FLORIDA MEN IN PONZI SCHEME DEFRAUDING TEACHERS AND RETIREES

08/29/2011

The Securities and Exchange Commission today charged two Florida men with operating a Ponzi scheme disguised as a purported private equity fund that fraudulently raised approximately $22 million from more than 100 investors, many of whom were Florida teachers or retirees.Read more

SEC Charges Former Mariner Energy Board Member and Son With Insider Trading

08/05/2011

The Securities and Exchange Commission today charged a former board member at Mariner Energy Inc. and his son with insider trading on confidential information about the impending takeover of the oil and gas company. Read more

SEC Issues Investor Bulletin on Retail Forex Transactions

07/20/2011

The Securities and Exchange Commission today issued an investor bulletin highlighting some of the most significant risks that foreign currency exchange (forex) transactions may pose for individual investors.Read more

SEC Charges Company CEOs and Penny Stock Promoters in Kickback Schemes

06/30/2011

The Securities and Exchange Commission today filed securities fraud charges against several CEOs, their companies, and two penny stock promoters alleging they used kickbacks, a bribe and blast e-mails to manipulate trading in microcap stocks.Read more

SEC Charges Raymond James for Auction Rate Securities Sales Practices, Firm Agrees to Buy Back All Outstanding ARS from Eligible Customers

06/29/2011

The Securities and Exchange Commission today charged Raymond James & Associates Inc. and Raymond James Financial Services Inc. for making inaccurate statements when selling auction rate securities (ARS) to customers.Read more