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Selected Press Releases

SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm

05/15/2014

The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.Read more

SEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments

05/15/2014

The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dealer. Read more

Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale

05/12/2014

The Securities and Exchange Commission today filed insider trading charges against three software company founders for taking unfair advantage of incorrect media speculation and analyst reports about the company’s acquisition.Read more

SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition

05/12/2014

The Securities and Exchange Commission today charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead of a major acquisition announcement.Read more

SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results

05/07/2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a New York-based investment advisory firm and two executives for distributing falsified performance results to prospective investors in two hedge funds they managed. Read more