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Release No. Date Details
First Quarter
2013-21 Feb. 13, 2013 SEC Approves 2013 PCAOB Budget and Accounting Support Fee
2013-20 Feb. 8, 2013 SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration Program
2013-19 Feb. 4, 2013 SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity
2013-18 Jan. 31, 2013 David P. Bergers Named Acting Deputy Director of Enforcement
2013-17 Jan. 31, 2013 George S. Canellos Named Acting Director of Enforcement
2013-16 Jan. 31, 2013 SEC Announces Panelists for Roundtable on Decimalization
2013-15 Jan. 30, 2013 SEC Charges Real Estate Executives in Florida-Based $300 Million Investment Scheme
2013-14 Jan. 29, 2013 SEC Names Carl W. Hoecker as Inspector General
2013-13 Jan. 29, 2013 SEC Charges Trader in Houston-Area Investment Scheme Targeting Lebanese and Druze Communities
2013-12 Jan. 28, 2013 SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities
2013-11 Jan. 28, 2013 SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies
2013-10 Jan. 25, 2013 SEC Charges Florida-Based Financial Adviser with Illegally Tipping Inside Information
2013-9 Jan. 23, 2013 SEC to Hold National Compliance Event for Broker-Dealers
2013-8 Jan. 22, 2013 Vincente Martinez Named Chief of SEC’s Office of Market Intelligence
2013-7 Jan. 22, 2013 Egan-Jones and Founder Sean Egan Agree to 18-Month Bars from Rating Asset-Backed and Government Securities Issuers as NRSRO
2013-6 Jan. 15, 2013 SEC Names Gregg E. Berman as Associate Director of the Office of Analytics and Research
2013-5 Jan. 15, 2013 David Grim Named Deputy Director of SEC's Division of Investment Management
2013-4 Jan. 9, 2013 SEC Charges Three Former Bank Executives in Virginia for Understating Loan Losses During Financial Crisis
2013-3 Jan. 9, 2013 Enforcement Director Robert Khuzami to Leave SEC
2013-2 Jan. 9, 2013 SEC Charges Two KPMG Auditors for Failed Audit of Nebraska Bank Hiding Loan Losses During Financial Crisis
2013-1 Jan. 7, 2013 SEC Names Geoffrey Aronow as General Counsel

Modified: 02/13/2013