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SEC: 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[...]
Read ArticleMunicipal Advisor Charged for Failing to Disclose Conflict
March 15, 2016The Securities and Exchange Commission today charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their[...]
Read ArticleSEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments
March 14, 2016The Securities and Exchange Commission today charged a microcap company CEO for falsely claiming to have a lucrative relationship with[...]
Read ArticleAIG Affiliates Charged With Mutual Fund Shares Conflicts
March 14, 2016The Securities and Exchange Commission today announced charges against three AIG affiliates for steering mutual fund clients toward more expensive[...]
Read ArticleSEC Approves 2016 PCAOB Budget and Accounting Support Fee
March 14, 2016The Securities and Exchange Commission today approved the 2016 budget of the Public Company Accounting Oversight Board (PCAOB) and the[...]
Read ArticleSEC: California Businessman Attempted Cover Up of Stolen Investor Funds
March 11, 2016The Securities and Exchange Commission today announced fraud charges against a California businessman accused of stealing investor assets and then[...]
Read ArticleSEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors
March 11, 2016The Securities and Exchange Commission today charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating[...]
Read ArticleSEC Charges Company and Executives for Faulty Evaluations of Internal Controls
March 10, 2016The Securities and Exchange Commission has settled charges against Texas-based oil company Magnum Hunter Resources Corporation and several individuals, including[...]
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