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Selected Press Releases

Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case

03/02/2012

The Securities and Exchange Commission today announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis.Read more

SEC Proposes Rules To Help Prevent And Detect Identity Theft

02/28/2012

The Securities and Exchange Commission today announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.Read more

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