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Selected Press Releases

SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past

03/08/2016

The Securities and Exchange Commission today announced fraud charges against an unregistered fund manager accused of hiding his checkered past while providing false and misleading data to investors and an independent research firm.Read more

SEC Awarding Nearly $2 Million to Three Whistleblowers

03/08/2016

The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. Read more

SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering

03/07/2016

The Securities and Exchange Commission today charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. Read more

SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business

03/01/2016

The Securities and Exchange Commission today announced that Qualcomm Incorporated has agreed to pay $7.5 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by hiring relatives of Chinese government officials deciding whether to select the company’s mobile technology products amid increasing competition in the international telecommunications market. Read more

SEC: Tech Company Bribed Chinese Officials

02/16/2016

The Securities and Exchange Commission today announced that a Massachusetts-based technology company and its Chinese subsidiaries agreed to pay more than $28 million to settle parallel civil and criminal actions involving violations of the Foreign Corrupt Practices Act (FCPA). Read more