| Release No. |
Date |
Details |
| Fourth Quarter |
| 2012-280 |
Dec. 26, 2012 |
SEC Charges Research Analyst with Trading and Tipping Ahead of IBM-SPSS Merger
|
| 2012-279 |
Dec. 26, 2012 |
SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk
|
| 2012-278 |
Dec. 21, 2012 |
SEC Charges Four Penny Stock Purchasers with Fraud
|
| 2012-277 |
Dec. 21, 2012 |
SEC Approves New Rules Regarding Lost Holders of Securities
|
| 2012-276 |
Dec. 21, 2012 |
SEC Bans Arizona-Based Investment Adviser from Securities Industry for Fraudulent Actions in Mutual Fund Collapse
|
| 2012-275 |
Dec. 21, 2012 |
Paul Beswick Named SEC Chief Accountant
|
| 2012-274 |
Dec. 21, 2012 |
SEC Announces Agenda for Roundtable on Decimalization
|
| 2012-273 |
Dec. 20, 2012 |
SEC Charges Eli Lilly and Company with FCPA Violations
|
| 2012-272 |
Dec. 19, 2012 |
SEC Charges Advisory Firms and Portfolio Managers for Roles in Collapse of Midwest-Based Closed-End Fund
|
| 2012-271 |
Dec. 18, 2012 |
SEC Revokes Registration of Toronto-Based Broker and Bans Two Executives from U.S. Securities Industry for Allowing Layering
|
| 2012-270 |
Dec. 18, 2012 |
SEC Charges Financial Media Company and Executives Involved in Accounting Fraud
|
| 2012-269 |
Dec. 17, 2012 |
Lona Nallengara Named Acting Director of SEC’s Division of Corporation Finance
|
| 2012-268 |
Dec. 17, 2012 |
John Ramsay Named Acting Director of SEC’s Division of Trading and Markets
|
| 2012-267 |
Dec. 17, 2012 |
SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs
|
| 2012-266 |
Dec. 17, 2012 |
SEC Charges Germany-Based Allianz SE with FCPA Violations
|
| 2012-265 |
Dec. 13, 2012 |
Danforth Townley Named Attorney Fellow in SEC’s Division of Investment Management
|
| 2012-264 |
Dec. 12, 2012 |
Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks
|
| 2012-263 |
Dec. 12, 2012 |
SEC Chief of Staff Didem A. Nisanci to Leave Agency
|
| 2012-262 |
Dec. 11, 2012 |
SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws
|
| 2012-261 |
Dec. 11, 2012 |
SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes
|
| 2012-260 |
Dec. 11, 2012 |
Jennifer McHugh Named Senior Advisor in SEC's Division of Investment Management
|
| 2012-259 |
Dec. 10, 2012 |
SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation
|
| 2012-258 |
Dec. 7, 2012 |
SEC Charges Prominent Entrepreneur in Miami-Based Scheme
|
| 2012-257 |
Dec. 7, 2012 |
SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks
|
| 2012-256 |
Dec. 6, 2012 |
SEC Completes 18th Annual International Enforcement Institute
|
| 2012-255 |
Dec. 5, 2012 |
SEC Charges 10 in Insider Trading Ring Around Investment Banker’s Illegal Tips on Impending Mergers
|
| 2012-254 |
Dec. 5, 2012 |
General Counsel Mark Cahn to Leave SEC
|
| 2012-253 |
Dec. 5, 2012 |
Trading and Markets Director Robert Cook to Leave SEC
|
| 2012-252 |
Dec. 4, 2012 |
Division of Corporation Finance Director Meredith Cross to Leave SEC
|
| 2012-251 |
Dec. 4, 2012 |
Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-Border OTC Derivatives Market
|
| 2012-250 |
Dec. 3, 2012 |
SEC Staff to Host Decimalization Roundtable
|
| 2012-249 |
Dec. 3, 2012 |
SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce Documents
|
| 2012-248 |
Nov. 30, 2012 |
Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock
|
| 2012-247 |
Nov. 30, 2012 |
SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process
|
| 2012-246 |
Nov. 29, 2012 |
SEC Names Todd K. Scharf as Chief Information Security Officer and Associate Director in Its Office of Information Technology
|
| 2012-245 |
Nov. 29, 2012 |
SEC Charges Two Brokers with Insider Trading Ahead of IBM-SPSS Merger for $1 Million Profit
|
| 2012-244 |
Nov. 29, 2012 |
SEC Charges Chicago-Based Investment Adviser With Defrauding Investors In Failing Private Equity Fund
|
| 2012-243 |
Nov. 28, 2012 |
SEC Charges Oil Company CEO as Source in Insider Trading Case
|
| 2012-242 |
Nov. 28, 2012 |
SEC Charges New York-Based Fund Executives for Overvaluing Assets During Financial Crisis
|
| 2012-241 |
Nov. 27, 2012 |
SEC Charges Four India-Based Brokerage Firms with Violating U.S. Registration Requirements
|
| 2012-240 |
Nov. 26, 2012 |
SEC Chairman Mary Schapiro to Step Down Next Month
|
| 2012-239 |
Nov. 20, 2012 |
Lorraine Echavarria Named Associate Regional Director to Lead Enforcement Program in SEC’s Los Angeles Office
|
| 2012-238 |
Nov. 20, 2012 |
SEC Sanctions Two Investment Advisers for Impeding Examinations
|
| 2012-237 |
Nov. 20, 2012 |
SEC Charges Hedge Fund Firm CR Intrinsic and Two Others in $276 Million Insider Trading Scheme Involving Alzheimer's Drug
|
| 2012-236 |
Nov. 19, 2012 |
SEC Halts Prime Bank Scheme in Georgia
|
| 2012-235 |
Nov. 19, 2012 |
SEC Charges New York-Based Fraudster Who Spent Investor Funds on Drugs and Gambling
|
| 2012-234 |
Nov. 19, 2012 |
SEC Charges Ring of High School Buddies with Insider Trading in Health Care Stocks
|
| 2012-233 |
Nov. 16, 2012 |
SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings
|
| 2012-232 |
Nov. 15, 2012 |
Fee Rate Advisory #2 for Fiscal Year 2013
|
| 2012-231 |
Nov. 15, 2012 |
BP to Pay $525 Million Penalty to Settle SEC Charges of Securities Fraud During Deepwater Horizon Oil Spill
|
| 2012-230 |
Nov. 15, 2012 |
MassMutual to Pay $1.625 Million after SEC Investigation Highlights Prior Insufficient Disclosures about Annuity Product
|
| 2012-229 |
Nov. 15, 2012 |
SEC Receives More Than 3,000 Whistleblower Tips in FY2012
|
| 2012-228 |
Nov. 15, 2012 |
SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations
|
| 2012-227 |
Nov. 14, 2012 |
SEC's Enforcement Program Continues to Show Strong Results in Safeguarding Investors and Markets
|
| 2012-226 |
Nov. 14, 2012 |
SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims
|
| 2012-225 |
Nov. 14, 2012 |
SEC and Justice Department Release FCPA Guide
|
| 2012-224 |
Nov. 9, 2012 |
SEC Charges Miami-Based Adviser with Hiding Trading Losses and Diverting Client Funds
|
| 2012-223 |
Nov. 8, 2012 |
SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud
|
| 2012-222 |
Nov. 8, 2012 |
SEC Charges Baton Rouge-Based Investment Adviser with Hiding Losses From Mortgage-Backed Securities Investments
|
| 2012-221 |
Nov. 7, 2012 |
SEC Announces Agenda and Panelists for Small Business Forum
|
| 2012-220 |
Nov. 5, 2012 |
SEC Announces Assistance to Filers Affected by Hurricane Sandy
|
| 2012-219 |
Oct. 31, 2012 |
Chairman Schapiro Statement on Reopening of Securities Markets
|
| 2012-218 |
Oct. 29, 2012 |
Stop Order Proceedings Instituted Against Caribbean Pacific Marketing |
| 2012-217 |
Oct. 26, 2012 |
SEC Charges Denver-Based Insurance Executive with Insider Trading |
| 2012-216 |
Oct. 26, 2012 |
SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme |
| 2012-215 |
Oct. 22, 2012 |
SEC Adopts Standards for Risk Management and Operations of Clearing Agencies |
| 2012-214 |
Oct. 19, 2012 |
More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law |
| 2012-213 |
Oct. 18, 2012 |
SEC Charges Trio in ".44 Magnum" Investment Scheme
|
| 2012-212 |
Oct. 18, 2012 |
Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges
|
| 2012-211 |
Oct. 17, 2012 |
Andrew Calamari Named Director of New York Regional Office
|
| 2012-210 |
Oct. 17, 2012 |
SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
|
| 2012-209 |
Oct. 17, 2012 |
SEC Charges Hedge Fund Adviser and Two Executives With Fraud in Continuing Probe of Suspicious Fund Performance
|
| 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
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| 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
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