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Release No. Date Details
Fourth Quarter
2012-208 Oct. 11, 2012 Pamela Dyson Named SEC's Deputy Chief Information Officer
2012-207 Oct. 5, 2012 SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme
2012-206 Oct. 3, 2012 SEC Charges Hedge Fund Managers with Defrauding Investors
2012-205 Oct. 3, 2012 SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects
2012-204 Oct. 3, 2012 SEC Charges Boston-Based Dark Pool Operator for Failing to Protect Confidential Information
Third Quarter
2012-203 Sep. 28, 2012 SEC Charges Financial Executive in Minnesota with Diverting Company Dollars to Pay Unauthorized Entertainment Expenses
2012-202 Sep. 28, 2012 SEC Announces Panelists for Market Technology Roundtable on October 2
2012-201 Sep. 27, 2012 SEC Charges Investment Bank Analyst with Illegally Tipping College Friend About Nonpublic Merger Deals
2012-200 Sep. 27, 2012 SEC Issues Report on Brokerage Firms' Handling of Confidential Information
2012-199 Sep. 27, 2012 SEC Charges Goldman Sachs and Former Vice President in Pay-to-Play Probe Involving Contributions to Former Massachusetts State Treasurer
2012-198 Sep. 25, 2012 SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis
2012-197 Sep. 25, 2012 SEC Charges N.Y.-Based Brokerage Firm with Layering
2012-196 Sep. 24, 2012 SEC Charges Tyco for Illicit Payments to Foreign Officials
2012-195 Sep. 20, 2012 SEC Freezes Assets of Insider Trader in Burger King Stock
2012-194 Sep. 20, 2012 SEC to Hold Annual Government-Business Forum on Small Business Capital Formation
2012-193 Sep. 20, 2012 SEC Charges Three in North Carolina With Insider Trading
2012-192 Sep. 19, 2012 SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds
2012-191 Sep. 18, 2012 SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings
2012-190 Sep. 14, 2012 SEC Charges Former Systemax Director in Compensation Scheme
2012-189 Sep. 14, 2012 SEC Charges New York Stock Exchange for Improper Distribution of Market Data
2012-188 Sep. 13, 2012 SEC Charges Connecticut-Based Broker with Stealing Investor Funds to Pay Mortgage and Shopping Bills
2012-187 Sep. 12, 2012 Andrew Bowden Named Deputy Director in the SEC’s Office of Compliance Inspections and Examinations
2012-186 Sep. 10, 2012 SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts
2012-185 Sep. 7, 2012 SEC Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis
2012-184 Sep. 7, 2012 N.Y.-Based Investment Advisory Firm and Founder Settle SEC Charges for Fraudulent Management of CDOS
2012-183 Sep. 7, 2012 SEC Shuts Down San Diego-Based Real Estate Investment Fraud
2012-182 Sep. 6, 2012 SEC Reschedules Date of Market Technology Roundtable
2012-181 Sep. 6, 2012 SEC Charges Solar Manufacturer With Concealing Agreement to Transfer Ownership Stake in Its Chinese Subsidiary
2012-180 Sep. 6, 2012 SEC Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments
2012-179 Sep. 5, 2012 SEC Charges Public Relations Executive With Insider Trading in Client's Stock
2012-178 Sep. 5, 2012 SEC Charges Attorney and Two Other South Florida Residents in $27.5 Million Investment Fraud
2012-177 Sep. 5, 2012 SEC Charges Radio Personality for Conducting Misleading Investment Seminars
2012-176 Sep. 4, 2012 SEC Charges California Man for Illegal Tips to Hedge Fund Manager
2012-175 Sep. 4, 2012 SEC Charges China-Based Company and Top Executive with Inflating Financial Results through Phony Sales
2012-174 Aug. 31, 2012 Fee Rate Advisory #1 for Fiscal Year 2013
2012-173 Aug. 31, 2012 SEC Issues Risk Alert on "Pay-To-Play" Prohibitions Under MSRB Rules
2012-172 Aug. 30, 2012 SEC Issues Financial Literacy Study Mandated by the Dodd-Frank Act
2012-171 Aug. 29, 2012 SEC Announces Agenda For Market Technology Roundtable
2012-170 Aug. 29, 2012 SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings
2012-169 Aug. 29, 2012 SEC Announces Advisory Committee Meeting in San Francisco to Discuss Small Business Issues
2012-168 Aug. 29, 2012 SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme
2012-167 Aug. 28, 2012 SEC Charges Eight in Georgia-Based Insider Trading Ring
2012-166 Aug. 22, 2012 Statement of SEC Chairman Mary L. Schapiro on Money Market Fund Reform
2012-165 Aug. 22, 2012 SEC Charges New York-Based Firm and Owner in Penny Stock Scheme
2012-164 Aug. 22, 2012 SEC Adopts Rules Requiring Payment Disclosures by Resource Extraction Issuers
2012-163 Aug. 22, 2012 SEC Adopts Rule for Disclosing Use of Conflict Minerals
2012-162 Aug. 21, 2012 SEC Issues First Whistleblower Program Award
2012-161 Aug. 21, 2012 SEC Brings Charges in Puerto Rico-Based Ponzi Scheme Targeting Evangelical Christians and Factory Workers
2012-160 Aug. 17, 2012 SEC Shuts Down $600 Million Online Pyramid and Ponzi Scheme
2012-159 Aug. 17, 2012 New Charges in Insider Trading Case Include Former CEO and Professional Baseball Player
2012-158 Aug. 16, 2012 SEC Charges Oracle Corporation With FCPA Violations Related to Secret Side Funds in India
2012-157 Aug. 16, 2012 SEC Charges College Football Hall of Fame Coach in $80 Million Ponzi Scheme
2012-156 Aug. 15, 2012 SEC Halts Denver-Based Ponzi Scheme
2012-155 Aug. 14, 2012 SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks
2012-154 Aug. 10, 2012 SEC Charges Mutual Fund Adviser With Failing to Turn Over Records to SEC Examiners
2012-153 Aug. 8, 2012 SEC to Host Market Technology Roundtable
2012-152 Aug. 7, 2012 SEC Charges Pfizer with FCPA Violations
2012-151 Aug. 3, 2012 Chairman Schapiro Statement on Knight Capital Group Trading Issue
2012-150 Aug. 2, 2012 Deputy Director of Division of Investment Management Robert E. Plaze Retiring After Almost 30 Years at SEC
2012-149 Aug. 2, 2012 SEC Names John Cross Director of Municipal Securities Office
2012-148 Aug. 2, 2012 SEC Charges Bristol-Myers Squibb Executive With Insider Trading in Stock Options of Potential Acquisition Targets
2012-147 Jul. 31, 2012 SEC Recommends Improvements to Help Investors in Municipal Securities Market
2012-146 Jul. 27, 2012 SEC Charges N.Y.-Based Fund Manager and Others With Securities Law Violations Related to Chinese Reverse Merger Company
2012-145 Jul. 27, 2012 SEC Freezes Assets of Insider Traders in Nexen Acquisition
2012-144 Jul. 25, 2012 SEC Charges Phony Company President for Role in Facilitating Fake Investment in Penny Stock Company
2012-143 Jul. 25, 2012 SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition
2012-142 Jul. 19, 2012 SEC Charges Chicago-Based Consulting Firm and Executives With Accounting Violations
2012-141 Jul. 19, 2012 SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock
2012-140 Jul. 19, 2012 SEC Veteran Michele Wein Layne Named Director of Los Angeles Office
2012-139 Jul. 18, 2012 SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO
2012-138 Jul. 18, 2012 SEC Announces Deferred Prosecution Agreement with Amish Fund
2012-137 Jul. 17, 2012 Short Selling Brothers Agree to Pay $14.5 Million to Settle SEC Charges
2012-136 Jul. 16, 2012 Paul A. Beswick Named Acting Chief Accountant
2012-135 Jul. 13, 2012 SEC Staff Publishes Final Report on Work Plan for Global Accounting Standards
2012-134 Jul. 11, 2012 SEC Approves New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity
2012-133 Jul. 10, 2012 SEC Charges Orthofix International With FCPA Violations
2012-132 Jul. 10, 2012 SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer
2012-131 Jul. 9, 2012 Paula Drake Named Chief Counsel and Chief Compliance and Ethics Officer of SEC's Office Of Compliance Inspections and Examinations
2012-130 Jul. 9, 2012 SEC Approves Rules and Interpretations on Key Terms for Regulating Derivatives
2012-129 Jul. 5, 2012 SEC Names Norm Champ as Director of Division of Investment Management
2012-128 Jul. 3, 2012 Ken C. Joseph Named Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office
2012-127 Jul. 2, 2012 SEC Freezes Assets of Missing Georgia-Based Investment Adviser
Second Quarter
2012-126 Jun. 29, 2012 SEC Charges Peter Madoff With Fraud and False Statements to Regulators
2012-125 Jun. 28, 2012 SEC Shuts Down $42 Million Ponzi-Like Scheme
2012-124 Jun. 28, 2012 SEC Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act
2012-123 Jun. 27, 2012 SEC Charges Long Island Software Company in Connection With Bribery Scheme
2012-122 Jun. 27, 2012 Philip A. Falcone and Harbinger Charged with Securities Fraud
2012-121 Jun. 26, 2012 SEC Charges Founder of Equity Research Firm with Insider Trading
2012-120 Jun. 26, 2012 SEC Sues Fund Adviser for Fees Charged in Breach of Duty Under the Investment Company Act
2012-119 Jun. 25, 2012 SEC Halts $100 Million Real-Estate Based Ponzi Scheme
2012-118 Jun. 21, 2012 SEC Charges Florida Broker in Astrology-Based Ponzi Scheme
2012-117 Jun. 21, 2012 SEC Charges Two New Jersey-Based Firms and Owner in Stock-Lending Scheme
2012-116 Jun. 20, 2012 SEC Chief Accountant James Kroeker to Leave the Commission
2012-115 Jun. 20, 2012 SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers
2012-114 Jun. 15, 2012 Director of Division of Investment Management Eileen Rominger to Retire
2012-113 Jun. 15, 2012 SEC Names Thomas Butler as Director of New Office of Credit Ratings
2012-112 Jun. 12, 2012 SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme
2012-111 Jun. 11, 2012 SEC Issues “Roadmap” on Phase in of Derivatives Regulation
2012-110 Jun. 6, 2012 OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis
2012-109 Jun. 4, 2012 SEC Advisory Committee on Small and Emerging Companies to Meet on June 8
2012-108 Jun. 4, 2012 SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes
2012-107 Jun. 1, 2012 SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market
2012-106 May 30, 2012 Jon Rymer Named Interim Inspector General
2012-105 May 30, 2012 SEC Charges Phoenix-Based Investment Adviser and Firm With Fraud
2012-104 May 29, 2012 Miami Hedge Fund Adviser Charged for Misleading Investors About "Skin in the Game" and Related-Party Deals
2012-103 May 25, 2012 SEC Halts Fraudulent Investment Scheme by New York-Based Fund Manager
2012-102 May 24, 2012 SEC Bars Former Staffer From Practice Before the Commission
2012-101 May 24, 2012 SEC Charges Northern California Fund Manager in $60 Million Scheme
2012-100 May 22, 2012 SEC Charges Two Feeders for One of South Florida's Largest-Ever Ponzi Schemes
2012-99 May 21, 2012 SEC Charges Former Yahoo Executive and Former Ameriprise Manager with Insider Trading
2012-98 May 18, 2012 James McNamara Named Managing Executive of SEC’s Division of Trading and Markets
2012-97 May 17, 2012 Erica Williams Named SEC's Deputy Chief of Staff
2012-96 May 17, 2012 James Burns Named Deputy Director in SEC's Division of Trading and Markets
2012-95 May 17, 2012 SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies
2012-94 May 16, 2012 SEC Charges New Jersey Man in Real Estate Investment Scam
2012-93 May 16, 2012 SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme
2012-92 May 14, 2012 SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family
2012-91 May 14, 2012 SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams
2012-90 May 10, 2012 SEC Charges Scotland-Based Firm for Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors
2012-89 May 9, 2012 SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities
2012-88 May 9, 2012 SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme
2012-87 May 9, 2012 SEC Charges Deloitte & Touche in Shanghai with Violating U.S. Securities Laws in Refusal to Produce Documents
2012-86 May 8, 2012 SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading
2012-85 May 7, 2012 Joint Statement on Regulation of OTC Derivatives Markets
2012-84 May 7, 2012 SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme
2012-83 May 3, 2012 SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers
2012-82 May 2, 2012 SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts
2012-81 May 1, 2012 SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers
2012-80 Apr. 30, 2012 SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme
2012-79 Apr. 30, 2012 George Canellos Named Deputy Director of SEC Enforcement Division
2012-78 Apr. 25, 2012 SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud
2012-77 Apr. 25, 2012 Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32 Million Insider Trading Case
2012-76 Apr. 24, 2012 H&R Block Subsidiary Agrees to Pay $28.2 Million to Settle SEC Charges Related to Subprime Mortgage Investments
2012-75 Apr. 24, 2012 Egan-Jones Ratings Co. and Sean Egan Charged with Making Material Misrepresentations to SEC
2012-74 Apr. 23, 2012 SEC Charges Chinese Company and Executives with Lying About Asset Values and Use of IPO Proceeds
2012-73 Apr. 23, 2012 SEC Charges Former CalPERS CEO and Friend With Falsifying Letters in $20 Million Placement Agent Fee Scheme
2012-72 Apr. 20, 2012 SEC Charges British Twin Brothers Touting "Stock Picking Robot" in Internet Pump-and-Dump Scheme
2012-71 Apr. 20, 2012 SEC Charges Father-and-Son Hedge Fund Managers Who Agree to Pay $4.8 Million to Settle Fraud Case
2012-70 Apr. 19, 2012 Volcker Rule Conformance Period Clarified
2012-69 Apr. 19, 2012 SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation
2012-68 Apr. 19, 2012 SEC Charges Ox Trading, optionsXpress, and Former CFO with Registration Violations
2012-67 Apr. 18, 2012 SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives
2012-66 Apr. 16, 2012 SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme
2012-65 Apr. 16, 2012 CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents
2012-64 Apr. 13, 2012 SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles
2012-63 Apr. 12, 2012 Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division
2012-62 Apr. 12, 2012 SEC Charges Ponzi Schemer Targeting Church Congregations
2012-61 Apr. 12, 2012 SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research “Huddles”
2012-60 Apr. 11, 2012 SEC Seeks Public Comment Prior to JOBS Act Rulemaking
2012-59 Apr. 11, 2012 SEC Charges China-Based Company and Others with Stock Manipulation
2012-58 Apr. 9, 2012 SEC Announces Members of New Investor Advisory Committee
2012-57 Apr. 9, 2012 SEC Settles Fraud Charges Against Silicon Valley Man
2012-56 Apr. 6, 2012 SEC Charges South Florida Man in Investment Fraud Scheme
2012-55 Apr. 6, 2012 SEC Charges Texas Bank Holding Company’s CEO and CFO with Misleading Investors About Loan Quality and Financial Health During the Financial Crisis
2012-54 Apr. 6, 2012 SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading
2012-53 Apr. 3, 2012 SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds
2012-52 Apr. 3, 2012 U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight
2012-51 Apr. 2, 2012 SEC Sues Two Executives in Texas to Recover Bonuses and Stock Profits Received During Accounting Fraud
First Quarter
2012-50 Mar. 26, 2012 SEC Charges Medical Device Company Biomet with Foreign Bribery
2012-49 Mar. 23, 2012 SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts
2012-48 Mar. 19, 2012 SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds
2012-47 Mar. 15, 2012 Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions
2012-46 Mar. 15, 2012 SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme
2012-45 Mar. 15, 2012 SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report
2012-44 Mar. 15, 2012 SEC Charges Chicago-Based Management Consultant With Insider Trading
2012-43 Mar. 14, 2012 SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares
2012-42 Mar. 13, 2012 SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers in Midst of Financial Crisis
2012-41 Mar. 13, 2012 SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm
2012-40 Mar. 8, 2012 SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading
2012-39 Mar. 7, 2012 SEC Charges CEO of Las Vegas-Based Penny Stock Company and Several Consultants in Pump-and-Dump Scheme
2012-38 Mar. 6, 2012 SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors
2012-37 Mar. 2, 2012 Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case
2012-36 Mar. 2, 2012 Marshall Gandy Named Head of Examinations Program in SEC’s Fort Worth Regional Office
2012-35 Mar. 1, 2012 Fee Rate Advisory #6 for Fiscal Year 2012
2012-34 Feb. 28, 2012 SEC Proposes Rules To Help Prevent And Detect Identity Theft
2012-33 Feb. 27, 2012 SEC Releases Risk Alert on Unauthorized Trading
2012-32 Feb. 24, 2012 SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria
2012-31 Feb. 22, 2012 SEC Charges China-Based Executives with Securities Fraud
2012-30 Feb. 17, 2012 SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector
2012-29 Feb. 15, 2012 SEC Tightens Rules on Advisory Performance Fee Charges
2012-28 Feb. 13, 2012 Director of L.A. Office Rosalind Tyson to Retire after 30 Years of SEC Service
2012-27 Feb. 10, 2012 SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case
2012-26 Feb. 9, 2012 SEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech Deals
2012-25 Feb. 6, 2012 SEC Charges Smith & Nephew PLC with Foreign Bribery
2012-24 Feb. 3, 2012 SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board
2012-23 Feb. 1, 2012 SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis
2012-22 Jan. 31, 2012 SEC Charges Brothers With Short Selling Violations
2012-21 Jan. 30, 2012 SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company
2012-20 Jan. 27, 2012 SEC Deputy Inspector General to Serve as Agency’s Interim Inspector General
2012-19 Jan. 26, 2012 SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday
2012-18 Jan. 26, 2012 SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme
2012-17 Jan. 26, 2012 SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme
2012-16 Jan. 23, 2012 Diamondback Capital Agrees to Settle SEC Insider Trading Charges
2012-15 Jan. 20, 2012 Fee Rate Advisory #5 for Fiscal Year 2012
2012-14 Jan. 18, 2012 SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds after Charging Them and Their Principal with Fraud
2012-13 Jan. 18, 2012 SEC Charges Florida Bank Holding Company and CEO with Misleading Investors about Loan Risks During Financial Crisis
2012-12 Jan. 18, 2012 SEC Seeks Public Comment for Financial Literacy Study Mandated by Dodd-Frank Act
2012-11 Jan. 18, 2012 SEC Charges Fund Managers and Analysts in Insider Trading Scheme
2012-10 Jan. 17, 2012 SEC Names Jane Norberg as Deputy Chief of Whistleblower Office
2012-9 Jan. 17, 2012 SEC Inspector General H. David Kotz to Leave Commission
2012-8 Jan. 17, 2012 SEC Charges UBS Global Asset Management for Pricing Violations in Mutual Fund Portfolios
2012-7 Jan. 12, 2012 Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators
2012-6 Jan. 12, 2012 SEC Names Robert Fisher as Deputy Director in Office of International Affairs
2012-5 Jan. 5, 2012 Administrative Law Judge Robert G. Mahony Retires After 46 Years of Federal Service
2012-4 Jan. 4, 2012 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
2012-3 Jan. 4, 2012 SEC Charges Illinois-Based Adviser in Social Media Scam
2012-2 Jan. 3, 2012 SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud
2012-1 Jan. 3, 2012 SEC Names Pamela A. Gibbs as Director of the Office of Minority and Women Inclusion

Modified: 10/11/2012