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Selected Press Releases

SEC Charges Boston-Based Dark Pool Operator for Failing to Protect Confidential Information

10/03/2012

The Securities and Exchange Commission today charged Boston-based dark pool operator eBX LLC with failing to protect the confidential trading information of its subscribers and failing to disclose to all subscribers that it allowed an outside firm to use their confidential trading information.Read more

SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects

10/03/2012

The Securities and Exchange Commission today announced that it has obtained an emergency court order to freeze the assets of a South Florida man who has been charged with fraudulently offering investments in oil drilling projects.Read more

SEC Charges Financial Executive in Minnesota with Diverting Company Dollars to Pay Unauthorized Entertainment Expenses

09/28/2012

The Securities and Exchange Commission today charged the former chief financial officer of a Minnetonka, Minn.-based manufacturer of computer networking devices for secretly diverting company funds to cover unauthorized personal expenses and other employees’ entertainment expenses that lacked any legitimate business purpose.Read more

SEC Charges Goldman Sachs and Former Vice President in Pay-to-Play Probe Involving Contributions to Former Massachusetts State Treasurer

09/27/2012

The Securities and Exchange Commission today charged Goldman, Sachs & Co. and one of its former investment bankers with “pay-to-play” violations involving undisclosed campaign contributions to then-Massachusetts state treasurer Timothy P. Cahill while he was a candidate for governor.Read more

SEC Charges Investment Bank Analyst with Illegally Tipping College Friend About Nonpublic Merger Deals