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By Press Release |
March 26, 2013
The SEC charged Matthew Teeple and a technology company executive in a $29 million insider trading case.
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By Press Release |
March 21, 2013
The SEC charged Rajarengan “Rengan” Rajaratnam for his role in the massive insider trading scheme spearheaded by his older brother Raj Rajaratnam.
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By Press Release |
March 11, 2013
The Securities and Exchange Commission today charged the State of Illinois with securities fraud for misleading municipal bond investors about the state’s approach to funding its pension obligations.
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By Press Release |
February 26, 2013
The SEC charged a pair of hedge fund managers with lying to investors about their fund’s structure and financial condition before it failed.
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By Press Release |
October 24, 2011
New York-based Pipeline is an SEC-registered alternative trading system, which trades securities outside of traditional exchanges. But the SEC wasn't happy with one way Pipeline was conducting business.
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By Press Release |
October 6, 2011
The SEC says scheme promised investors rich returns on water-filtering natural stone pavers, but bilked them of approximately $26 million over a four-year period.
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By Press Release |
September 22, 2011
The SEC’s Division of Enforcement alleges that Spencer D. Mindlin obtained non-public details about Goldman’s plans to purchase and sell large amounts of SPDR ETFs.
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By Press Release |
June 6, 2011
“Eric Lipkin helped create the detailed and entirely phony trading and business records that contributed to the success of Madoff’s fraud,” the SEC said.
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By Press Release |
March 15, 2011
The SEC alleges that Eugenio Verzili and Arturo Rodriguez through their firm Juno Mother Earth Asset Management LLC misappropriated client assets.
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By Press Release |
January 13, 2011
The SEC says Warren D. Nadel misrepresented the value of investors' holdings in a cash management strategy.
