| Release No. |
Date |
Details |
| Second Quarter |
| 2013-114 |
Jun. 18, 2013 |
SEC Charges San Diego-Based Promoter in Penny Stock Scheme
|
| 2013-113 |
Jun. 17, 2013 |
SEC Charges Two Executives in Ponzi Scheme At Dallas-Based Medical Insurance Company
|
| 2013-112 |
June 14, 2013 |
Amelia Cottrell Named Associate Regional Director for Enforcement in New York Office
|
| 2013-111 |
June 13, 2013 |
Former Mutual Fund Directors Agree to Settle Claims That They Failed to Properly Oversee Asset Valuation
|
| 2013-110 |
June 13, 2013 |
SEC Charges Revlon with Misleading Shareholders in Going Private Transaction
|
| 2013-109 |
June 12, 2013 |
SEC Announces More Charges in Massive Kickback Scheme to Secure Business of Venezuelan Bank
|
| 2013-108 |
June 12, 2013 |
SEC, FINRA Warn Investors About Pump-And-Dump Stock Spam
|
| 2013-107 |
June 11, 2013 |
SEC Charges CBOE for Regulatory Failures
|
| 2013-106 |
June 10, 2013 |
SEC Charges Top Officials At Investment Adviser in Scheme to Hide Theft From Pension Fund of Detroit Police and Firefighters
|
| 2013-105 |
Jun. 7, 2013 |
SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Networks
|
| 2013-104 |
June 6, 2013 |
SEC Renames Division Focusing On Economic and Risk Analysis
|
| 2013-103 |
Jun. 6, 2013 |
SEC Warns Investors About Binary Options and Charges Cyprus-Based Company with Selling Them Illegally in U.S.
|
| 2013-102 |
Jun. 6, 2013 |
SEC Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement
|
| 2013-101 |
Jun. 6, 2013 |
SEC Proposes Money Market Fund Reforms
|
| 2013-100 |
Jun. 5, 2013 |
SEC Charges Penny Stock Company and CEO for Illegal Stock Offering and Insider Trading
|
| 2013-99 |
Jun. 3, 2013 |
SEC Charges Fortune 200 Company for Accounting Deficiencies
|
| 2013-98 |
Jun. 3, 2013 |
Robert E. Rice Named as Chief Counsel to SEC Chair
|
| 2013-97 |
Jun. 3, 2013 |
SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market
|
| 2013-96 |
May 30, 2013 |
Florida-Based Stock Promoter Charged with Lying to SEC Investigators
|
| 2013-95 |
May 29, 2013 |
SEC Charges NASDAQ for Failures During Facebook IPO
|
| 2013-94 |
May 29, 2013 |
SEC Charges Total S.A. for Illegal Payments to Iranian Official
|
| 2013-93 |
May 24, 2013 |
SEC Charges Dallas-Based Trader With Front Running
|
| 2013-92 |
May 23, 2013 |
SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information
|
| 2013-91 |
May 22, 2013 |
SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds
|
| 2013-90 |
May 16, 2013 |
SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm
|
| 2013-89 |
May 15, 2013 |
SEC Names Keith F. Higgins as Director of Division of Corporation Finance
|
| 2013-88 |
May 15, 2013 |
SEC Names Lona Nallengara as Chief of Staff
|
| 2013-87 |
May 15, 2013 |
SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use
|
| 2013-86 |
May 9, 2013 |
SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams
|
| 2013-85 |
May 9, 2013 |
Bruce Karpati, Chief of Enforcement Division Asset Management Unit, to Leave SEC After 12 Years
|
| 2013-84 |
May 7, 2013 |
SEC Charges Traders in Massive Kickback Scheme Involving Venezuelan Official
|
| 2013-83 |
May 7, 2013 |
SEC Announces Panelists for Credit Ratings Roundtable
|
| 2013-82 |
May 6, 2013 |
SEC Charges City of Harrisburg for Fraudulent Public Statements
|
| 2013-81 |
May 2, 2013 |
SEC Names Andrew Bowden as Director of National Exam Program
|
| 2013-80 |
May 2, 2013 |
National Exam Program Director Carlo V. Di Florio to Leave SEC
|
| 2013-79 |
May 2, 2013 |
SEC Announces Departure of Senior Enforcement Official David P. Bergers After 13 Years of Federal Service
|
| 2013-78 |
May 2, 2013 |
SEC Charges Gatekeepers of Two Mutual Fund Trusts for Inaccurate Disclosures About Decisions On Behalf of Shareholders
|
| 2013-77 |
May 1, 2013 |
SEC Proposes Rules for Cross-Border Security-Based Swap Activities
|
| 2013-76 |
Apr. 29, 2013 |
Level Global Agrees to Pay More Than $21.5 Million to Settle SEC Insider Trading Charges
|
| 2013-75 |
Apr. 29, 2013 |
SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors
|
| 2013-74 |
Apr. 25, 2013 |
Fee Rate Advisory #3 for Fiscal Year 2013
|
| 2013-73 |
Apr. 25, 2013 |
SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act
|
| 2013-72 |
Apr. 24, 2013 |
SEC Charges Capital One with Understating Auto Loan Losses
|
| 2013-71 |
Apr. 23, 2013 |
SEC Announces Agenda for Credit Ratings Roundtable
|
| 2013-70 |
Apr. 23, 2013 |
Investors to Receive Their Entire Investments Back After SEC Halted Scheme Exploiting Immigration Program
|
| 2013-69 |
Apr. 23, 2013 |
SEC Names Anne K. Small as General Counsel
|
| 2013-68 |
Apr. 22, 2013 |
SEC Announces Agenda for May 1 Meeting of Advisory Committee On Small and Emerging Companies
|
| 2013-67 |
Apr. 22, 2013 |
George Canellos and Andrew Ceresney Named Co-Directors of Enforcement
|
| 2013-66 |
Apr. 22, 2013 |
SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group
|
| 2013-65 |
Apr. 22, 2013 |
SEC Announces Non-Prosecution Agreement With Ralph Lauren Corporation Involving FCPA Misconduct
|
| 2013-64 |
Apr. 18, 2013 |
SEC Charges Chicago-Based Investment Adviser with Defrauding CalPERS and Other Clients
|
| 2013-63 |
Apr. 16, 2013 |
SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture
|
| 2013-62 |
Apr. 16, 2013 |
SEC Charges Canada-Based Investment Banker with Insider Trading
|
| 2013-61 |
Apr. 15, 2013 |
SEC Charges Denver-Based Businessman with Insider Trading
|
| 2013-60 |
Apr. 15, 2013 |
SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm
|
| 2013-59 |
Apr. 11, 2013 |
SEC Names Jennifer Marietta-Westberg as Deputy Director of the Division of Risk, Strategy, and Financial Innovation
|
| 2013-58 |
Apr. 11, 2013 |
SEC Charges Former KPMG Partner and Friend with Insider Trading
|
| 2013-57 |
Apr. 10, 2013 |
SEC Adopts Rules to Help Protect Investors from Identity Theft
|
| 2013-56 |
Apr. 10, 2013 |
Mary Jo White Sworn in as Chair of SEC
|
| 2013-55 |
Apr. 9, 2013 |
SEC Announces Panelists for Roundtable on Fixed Income Markets
|
| 2013-54 |
Apr. 8, 2013 |
SEC Charges Former Medical Device Company Employee for Illegally Tipping Brother with Quarterly Earnings Data
|
| 2013-53 |
Apr. 3, 2013 |
Marc Fagel, Director of San Francisco Office, to Leave SEC
|
| 2013-52 |
Apr. 3, 2013 |
SEC Streamlines Rule Filing Requirements for Dually Registered Clearing Agencies
|
| 2013-51 |
Apr. 2, 2013 |
SEC Says Social Media OK for Company Announcements if Investors Are Alerted
|
| First Quarter |
| 2013-50 |
Mar. 29, 2013 |
Foreign Traders Agree to Pay $3.3 Million to Settle Charges in Nexen Insider Trading Case
|
| 2013-49 |
Mar. 29, 2013 |
SEC Charges Sigma Capital Portfolio Manager with Insider Trading
|
| 2013-48 |
Mar. 28, 2013 |
SEC Announces Agenda for Fixed Income Roundtable
|
| 2013-47 |
Mar. 26, 2013 |
SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading
|
| 2013-46 |
Mar. 22, 2013 |
SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud
|
| 2013-45 |
Mar. 21, 2013 |
SEC Charges Rengan Rajaratnam with Insider Trading
|
| 2013-44 |
Mar. 19, 2013 |
SEC Charges Financier with Stealing Investor Funds in Purported Offerings of Pre-IPO Facebook Shares
|
| 2013-43 |
Mar. 18, 2013 |
SEC Obtains Asset Freeze Against Massachusetts-Based Investment Adviser Stealing Money from Clients
|
| 2013-42 |
Mar. 15, 2013 |
SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading
|
| 2013-41 |
Mar. 15, 2013 |
CR Intrinsic Agrees to Pay More than $600 Million in Largest-Ever Settlement for Insider Trading Case
|
| 2013-40 |
Mar. 15, 2013 |
SEC Issues Guidance Update on Social Media Filings by Investment Companies
|
| 2013-39 |
Mar. 15, 2013 |
SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme
|
| 2013-38 |
Mar. 11, 2013 |
SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance
|
| 2013-37 |
Mar. 11, 2013 |
SEC Charges Illinois for Misleading Pension Disclosures
|
| 2013-36 |
Mar. 11, 2013 |
SEC Charges Private Equity Firm, Former Executive, and Consultant for Improperly Soliciting Investments
|
| 2013-35 |
Mar. 7, 2013 |
SEC Proposes Rules to Improve Systems Compliance and Integrity
|
| 2013-34 |
Mar. 7, 2013 |
SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters
|
| 2013-33 |
Mar. 4, 2013 |
SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule
|
| 2013-32 |
Mar. 1, 2013 |
SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers
|
| 2013-31 |
Mar. 1, 2013 |
Steven Harris and Jay Hanson Reappointed to PCAOB
|
| 2013-30 |
Feb. 28, 2013 |
China-Based Company and Former CFO to Pay Penalties for Disclosure and Accounting Violations
|
| 2013-29 |
Feb. 27, 2013 |
SEC to Hold Fixed Income Roundtable
|
| 2013-28 |
Feb. 26, 2013 |
SEC Charges Connecticut-Based Hedge Fund Managers with Fraud
|
| 2013-27 |
Feb. 26, 2013 |
SEC to Host Credit Ratings Roundtable
|
| 2013-26 |
Feb. 21, 2013 |
SEC Announces 2013 Examination Priorities
|
| 2013-25 |
Feb. 21, 2013 |
SEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients
|
| 2013-24 |
Feb. 15, 2013 |
SEC Freezes Assets in Swiss-Based Account Used in Suspected Insider Trading Ahead of Heinz Acquisition
|
| 2013-23 |
Feb. 15, 2013 |
SEC Charges N.Y.-Based Brokerage Firm with Defrauding Investors in a Clean Energy Company to Earn Lucrative Commissions
|
| 2013-22 |
Feb. 15, 2013 |
Director of International Affairs Ethiopis Tafara to Leave SEC
|
| 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
|
