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Selected Press Releases

SEC Charges Investment Adviser With Fraud

09/29/2015

The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging in self-dealing and failing to disclose material facts to clients regarding conflicts of interest, use of investor funds, and the risks of the investments they recommended. Read more

SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant

09/28/2015

The Securities and Exchange Commission today charged five Florida residents – including two lawyers and an accountant – with insider trading in advance of the acquisition of Pharmasset Inc. by Gilead Sciences Inc. Read more

SEC Charges Individual and Firm for Manipulative Press Release Announcing Takeover Bid

09/24/2015

The Securities and Exchange Commission today charged Michael A. Glickstein and his New York-based investment advisory firm with fraud based on a misleading press release announcing their offer to purchase a majority stake in retail bookseller Barnes & Noble. Read more

SEC Charges Two Philadelphia Area Men For Defrauding Friends And Family In Private Equity Fund

09/23/2015

The Securities and Exchange Commission today announced settled charges with two Philadelphia-area men and their investment advisory firm who allegedly defrauded investors in a private equity fund they managed. Under the settlement, the respondents will owe approximately $6.8 million to the SEC. The SEC intends to distribute collected money to harmed investors. Read more

SEC Charges Consultant and Friend With Insider Trading in Advance of P.F. Chang’s Merger

09/23/2015

The Securities and Exchange Commission today charged a consultant and his friend with insider trading in the options of P.F. Chang’s China Bistro based on nonpublic information about an impending acquisition offer. Read more