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Selected Press Releases

SEC: California Businessman Attempted Cover Up of Stolen Investor Funds

03/11/2016

The Securities and Exchange Commission today announced fraud charges against a California businessman accused of stealing investor assets and then trying to cover it up once the SEC caught onto his scheme.Read more

SEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors

03/10/2016

The Securities and Exchange Commission today charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating financial condition of its enterprise while raising more than $350 million from investors. Aequitas Management LLC and four affiliates allegedly defrauded more than 1,500 investors nationwide into believing they were making health care, education, and transportation-related investments when their money was really being used in a last-ditch effort to save the firm. Some money from new investors was allegedly used to pay earlier investorsRead more

Money Returning to Investors Harmed by Unregistered Broker

03/09/2016

The Securities and Exchange Commission today announced that a Cyprus-based company has agreed to pay $11 million to settle charges that it illegally sold binary options to U.S. investors. A judge signed a court order late yesterday authorizing the distribution of this money to harmed investors through a Fair Fund.Read more

Insider Traders Returning Illegal Profits and Kickbacks

03/09/2016

The Securities and Exchange Commission today announced that a Florida man trading on inside information ahead of a pharmaceutical company merger and a friend who tipped him have agreed to settle enforcement actions against them.Read more

SEC: Tech Company Misled Investors About Key Product

03/09/2016

The Securities and Exchange Commission today announced that a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors about the production status and sales agreements for a key product.Read more