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SEC Announces Cherry-Picking Charges Against Investment Manager
June 29, 2015The Securities and Exchange Commission today announced fraud charges against a Wisconsin-based investment advisory firm and its owner accused of[...]
Read ArticleSEC Charges KKR With Misallocating Broken Deal Expenses
June 29, 2015The Securities and Exchange Commission today charged Kohlberg Kravis Roberts & Co. (KKR) with misallocating more than $17 million in[...]
Read ArticleJohn Roeser Named Associate Director of the Office of Market Supervision
June 25, 2015The Securities and Exchange Commission today announced that it has named John C. Roeser as Associate Director and deputy head[...]
Read ArticleSEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares
June 23, 2015The Securities and Exchange Commission today charged a microcap promoter with illegally selling more than 83 million penny stock shares[...]
Read ArticleSEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week
June 23, 2015The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a trader in China[...]
Read ArticleSEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program
June 23, 2015The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners[...]
Read ArticleSEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors
June 18, 2015The Securities and Exchange Commission today charged a Texas-based oil company and its CEO with defrauding investors about reserve estimates[...]
Read ArticleSEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
June 18, 2015The Securities and Exchange Commission today announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.[...]
Read ArticleSEC Charges Investment Adviser and Mutual Fund Board Members With Failures in Advisory Contract Approval Process
June 17, 2015The Securities and Exchange Commission today charged a mutual fund adviser, its principal, and three mutual fund board members with[...]
Read ArticleChina-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures
June 17, 2015The Securities and Exchange Commission today announced a $55.6 million settlement with Focus Media Holding Limited and CEO Jason Jiang[...]
Read ArticleSEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps
June 17, 2015The Securities and Exchange Commission today announced an enforcement action against a company that illegally offered complex derivatives products to[...]
Read ArticleSEC Charges Investment Adviser With Fraudulently Funneling Client Assets to Companies in Owner’s Interest
June 17, 2015The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based investment advisory firm and its owner for funneling[...]
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