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By Press Release |
May 7, 2013
The SEC charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes.
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By Press Release |
April 29, 2013
Greenwich, Conn.-based Level Global Investors LP has settled charges its co-founder engaged in insider trading in Dell Inc. and Nvidia Corp.
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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 28, 2011
The SEC alleges that Corey Ribotsky and his firm The NIR Group LLC repeatedly lied to investors to hide the truth that his PIPE investment and trading strategy was failing during the financial crisis.
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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 7, 2011
SEC suspends trading in 17 companies in proactive effort to combat microcap stock fraud
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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.
