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Selected Press Releases

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

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