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By Press Release |
May 16, 2013
The regulator says Charles J. Dushek and Charles S. Dushek mixed funds with clients and allocated winning trades to personal accounts.
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By Press Release |
January 17, 2012
The SEC claims that UBS failed to properly price securities in three mutual funds that it managed, resulting in a misstatement to investors of the net asset values.
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By Press Release |
December 6, 2011
The SEC announced that it has frozen the assets of four Chinese citizens and a Chinese-based entity charged with insider trading in advance of a merger
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By Press Release |
November 9, 2011
The Securities and Exchange Commission today charged two Minnesota-based hedge fund managers and their firm for facilitating a multi-billion dollar Ponzi scheme operated by Minnesota businessman Thomas Petters
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By Press Release |
August 24, 2010
SEC says two Spanish traders made $1.1 million off insider info on BHP Billiton offer for Potash Corp.