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Selected Press Releases

SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts

02/11/2016

The Securities and Exchange Commission today charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a medical device company and pocketing investors’ money. Read more

SEC Charges Company Executive With Insider Trading

02/05/2016

The Securities and Exchange Commission today charged an executive at Stamford, Conn.-based electronics company Harman International Industries with insider trading in the company’s stock. Read more

SEC: Miami Firm Broke Anti-Money Laundering Protocols

02/04/2016

The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities without verifying the identities of the non-U.S. citizens who beneficially owned them. Read more

SEC Charges Lending Company and Brokerage Firm With Fraud

02/03/2016

The Securities and Exchange Commission today announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities. The SEC also charged the brokerage firm that acted as the placement agent and two of its executives. Read more

SEC Completes Muni-Underwriter Enforcement Sweep. 72 Firms Charged Since June 2015

02/02/2016

The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. The actions conclude charges against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. In all, 72 underwriters have been charged under the voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents.Read more