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Selected Press Releases

SEC Charges Medical Diagnostics Company Chairman and Two Others Behind Scheme to Manipulate Company Stock

09/14/2015

The Securities and Exchange Commission today charged the executive chairman of a Massachusetts-based medical diagnostics company and two others with conducting a pump-and-dump scheme that was ultimately thwarted when the SEC suspended trading in the company’s securities before the secretly controlled shares could be dumped on unsuspecting investors. Read more

SEC Charges Five Arizona Residents With Stealing Millions From Investors to Fund Travel and Entertainment Sprees

09/11/2015

The Securities and Exchange Commission today charged five Arizona residents with stealing millions of dollars from investors to make car payments, buy clothes, and fund travel and entertainment at luxury resorts, casinos, and strip clubs.Read more

SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program

09/09/2015

The Securities and Exchange Commission today announced fraud charges against a Maryland-based financial services firm and its founder/CEO accused of grossly inflating the amount of managed assets and exaggerating the investment returns actually obtained for customers.Read more

SEC Halts Scheme by Trio Accused of Stealing Investor Money While Promising “Indestructible Wealth”

09/09/2015

The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained to halt an ongoing real estate investment scheme being conducted by a trio of business associates in California accused of stealing investors’ money while promising them “indestructible wealth.”Read more

SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives - Former Audit Committee Chair Among Four Individuals Charged

09/08/2015

The Securities and Exchange Commission today charged a sports supplements and nutrition company with committing a series of accounting and disclosure violations, including the failure to properly report perks provided to its executives as compensation.Read more