-
By Press Release |
June 12, 2012
The SEC says 14 sales agents misled investors and illegally sold securities for a Long Island-based investment firm at the center of a $415 million Ponzi scheme.
-
By Press Release |
October 26, 2011
SEC brings new insider trading charges against Raj Rajaratnam
-
By Press Release |
October 19, 2011
The SEC charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading investors about a $1 billion CDO tied to the U.S. housing market in which Citigroup bet against investors as the housing market showed signs of distress
-
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.
-
By Press Release |
July 27, 2011
The Securities and Exchange Commission staff today issued a report identifying common weaknesses seen in sales of structured securities products.
-
By Press Release |
March 1, 2011
The SEC says Rajat K. Gupta illegally tipped Galleon Management founder and hedge fund manager Raj Rajaratnam with inside information.
-
By Press Release |
February 8, 2011
The Securities and Exchange Commission says a New York-based hedge fund got inside information from employees moonlighting as expert network consultants.
-
By Press Release |
February 3, 2011
The SEC brought charges of insider trading against six expert networks
-
By Press Release |
January 10, 2011
The SEC alleges that Robert Feinblatt -- principal of New York investment adviser Trivium Capital Management -- engaged in insider trading.
