SEC Brings Additional Charges in Its Ongoing Investigations Into Two Previously Identified Insider Trading Rings Hedge Fund Advisory Firm and Two Wall Street Professionals Are Latest Charged FOR IMMEDIATE RELEASE 2010-220 Washington, D.C., Nov. 12, 2010 — The Securities and Exchange Commission today charged additional defendants in its ongoing investigations related to two enforcement actions, […]
SEC Charges Office Depot and Company Executives With Improper Disclosures to Analysts
SEC Charges Office Depot and Company Executives With Improper Disclosures to Analysts FOR IMMEDIATE RELEASE 2010-202 Washington, D.C., Oct. 21, 2010 — The Securities and Exchange Commission today announced enforcement actions against Office Depot, Inc. and two executives for violating or causing violations of fair disclosure regulations when selectively conveying to analysts and institutional investors […]
SEC Charges Two Florida-Based Fund Managers With Facilitating Petters Ponzi Scheme
Washington, D.C., Oct. 14, 2010 — The Securities and Exchange Commission today charged two Florida-based hedge fund managers and their firms with fraudulently funneling more than a billion dollars of investor money into a Ponzi scheme operated by Minnesota businessman Thomas Petters. Additional Materials SEC Complaint http://www.sec.gov/litigation/complaints/2010/comp21694.pdf Litigation Release No. 21694 http://www.sec.gov/litigation/litreleases/2010/lr21694.htm The SEC alleges […]