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Marshall Sprung, Co-Chief of Asset Management Unit, to Leave SEC After 13 Years of Service
April 11, 2016The Securities and Exchange Commission today announced that Marshall S. Sprung, co-chief of the Division of Enforcement’s Asset Management Unit,[...]
Read ArticleSEC: Company Misled Investors About Energy-Efficient Technology
April 11, 2016The Securities and Exchange Commission today announced fraud charges against a Texas-based technology company and its founder accused of boosting[...]
Read ArticleLas Vegas Sands Paying Penalty for FCPA Violations
April 07, 2016The Securities and Exchange Commission today announced that Las Vegas Sands Corp. has agreed to pay a $9 million penalty[...]
Read ArticleSEC Charges Four in Fraudulent “Free Dinner” Scheme
April 04, 2016The Securities and Exchange Commission today announced that it has charged four individuals in a fraud whose victims included seniors[...]
Read ArticleSEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine
March 31, 2016The Securities and Exchange Commission today charged Navistar International Corp. with misleading investors about its development of an advanced technology[...]
Read ArticleSEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use
March 30, 2016The Securities and Exchange Commission today announced that a San Francisco-based biotech venture capitalist has agreed to settle charges that[...]
Read ArticleFormer TV Commentator Settles Penny Stock Fraud Charges
March 29, 2016The Securities and Exchange Commission today announced that a former market analyst and TV news commentator has agreed to settle[...]
Read ArticleSEC: Biotech Company Misled Investors About New Drug’s Status With FDA
March 29, 2016The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based biotech company and three former executives for misleading[...]
Read ArticleSecurities Professional Charged With Defrauding Institutional Investors
March 28, 2016The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest[...]
Read ArticleSEC Halts Fraud by Manager of Investments in Pre-IPO Companies
March 25, 2016The Securities and Exchange Commission today announced fraud charges and asset freezes obtained in a case filed against a New[...]
Read ArticleKeith E. Cassidy Named Director of Legislative and Intergovernmental Affairs Office
March 21, 2016The Securities and Exchange Commission today announced that Keith E. Cassidy has been named Director of the agency’s Office of[...]
Read ArticleSEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses
March 15, 2016The Securities and Exchange Commission today charged a former Boston resident with operating a $10 million Ponzi scheme that claimed[...]
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