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Press Release Archives 2009

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No. Date Details
Fourth Quarter
2009-277 Dec. 31, 2009 SEC Charges California Telecom Company With Bribery and Other FCPA Violations
2009-276 Dec. 29, 2009 SEC Charges Houston-Based Broker With Defrauding Florida Municipalities
2009-275 Dec. 23, 2009 SEC Freezes Assets of French Citizens Within Days of Insider Trading
2009-274 Dec. 22, 2009 SEC Charges Austin-Based Investment Adviser in Fraudulent Scheme Utilizing Football Stars
2009-273 Dec. 22, 2009 SEC Proposes Rule Amendments to Facilitate Access to Capital Markets
2009-272 Dec. 18, 2009 SEC Charges U.S. Subsidiary of World's Largest Inter-Dealer Broker for Displaying Fictitious Trades and Misleading Customers
2009-271 Dec. 17, 2009 SEC Charges Ernst & Young and Six Partners for Roles in Accounting Violations at Bally Total Fitness
2009-270 Dec. 17, 2009 Fee Rate Advisory #4 for Fiscal Year 2010
2009-269 Dec. 16, 2009 SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers
2009-268 Dec. 16, 2009 SEC Approves Enhanced Disclosure About Risk, Compensation and Corporate Governance
2009-267 Dec. 16, 2009 Eric Bustillo Named Regional Director of SEC's Miami Regional Office
2009-266 Dec. 16, 2009 SEC Charges Former Employees of Global Firms in Serial Insider Trading Scheme
2009-265 Dec. 14, 2009 SEC Re-Opens Public Comment Period for Shareholder Director Nomination Proposal
2009-264 Dec. 14, 2009 SEC Announces $418 Million Fair Fund Distribution to Harmed Investors in Invesco Mutual Funds
2009-263 Dec. 11, 2009 SEC Chairman Schapiro Statement on House-Passed Financial Regulatory Reform Legislation
2009-262 Dec. 10, 2009 SEC Charges Attorney in Insider Trading Scheme
2009-261 Dec. 8, 2009 SEC Blocks Early-Stage Ponzi Scheme Involving Purported Investments in Personal Injury Settlements
2009-260 Dec. 8, 2009 SEC Charges California Firm and CEO With Defrauding Customers in Sales of Risky Mortgage-Backed Securities
2009-259 Dec. 7, 2009 Special Advisor and Former Deputy Director of the Division of Enforcement George Curtis Leaves SEC
2009-258 Dec. 7, 2009 SEC Charges Former Officers of Subprime Lender New Century With Fraud
2009-257 Dec. 2, 2009 SEC Obtains Asset Freeze Against Co-Founder of Canopy Financial in $75 Million Offering Fraud
2009-256 Nov. 30, 2009 SEC Charges Hurricane Restoration Company and Executives in Post-Katrina Accounting Fraud
2009-255 Nov. 25, 2009 Statement by Chairman Schapiro on Court Order Adopting SEC's Proposed Distribution Plan in Reserve Primary Fund Case
2009-254 Nov. 25, 2009 SEC Surpasses $2 Billion in Fair Fund Distributions in 2009
2009-253 Nov. 24, 2009 SEC Obtains Asset Freeze in Minnesota-Based Foreign Currency Trading Scheme
2009-252 Nov. 20, 2009 SEC and CFTC Issue Joint Orders on Volatility Indexes and Security Futures
2009-251 Nov. 19, 2009 SEC Names Senior Officials to Investor Education and Advocacy Efforts
2009-250 Nov. 17, 2009 SEC Charges Former Executives at Silicon Valley Company for Inflating Financial Results
2009-249 Nov. 17, 2009 President Obama Establishes Interagency Financial Fraud Enforcement Task Force
2009-248 Nov. 17, 2009 Federal Regulators Issue Final Model Privacy Notice Form
2009-247 Nov. 16, 2009 SEC Charges Promoters of "Green" Investments With Operating $30 Million Ponzi Scheme Based in Denver Area
2009-246 Nov. 13, 2009 SEC Announces Agenda and Panelists for Small Business Forum
2009-245 Nov. 13, 2009 Securities Regulators to Talk Financial Literacy With Students
2009-244 Nov. 13, 2009 Paul Beswick Named SEC Deputy Chief Accountant in Charge of Accounting Group
2009-243 Nov. 13, 2009 SEC Charges Madoff Computer Programmers
2009-242 Nov. 10, 2009 Robert W. Cook Named Director of SEC Division of Trading and Markets
2009-241 Nov. 10, 2009 SEC Charges Former CFO of New York-Based Hedge Fund With Securities Fraud
2009-240 Nov. 9, 2009 Chief Litigation Counsel Luis R. Mejia Leaving SEC
2009-239 Nov. 9, 2009 SEC to Hold National Seminar for Chief Compliance Officers
2009-238 Nov. 5, 2009 SEC's New Division of Risk, Strategy, and Financial Innovation Adds Experts to Senior Ranks
2009-237 Nov. 5, 2009 Statement by Chairman Schapiro on IASB and FASB Commitment to Improve IFRS and U.S. GAAP and to Bring About Their Convergence
2009-236 Nov. 5, 2009 SEC Charges Wall Street Lawyers and Traders in $20 Million Insider Trading Scheme
2009-235 Nov. 5, 2009 SEC Charges 13 Additional Individuals and Entities in Galleon Insider Trading Case
2009-234 Nov. 4, 2009 SEC Sues Value Line Inc. and Two Senior Officers for $24 Million Fraudulent Scheme
2009-233 Nov. 4, 2009 SEC Charges Former Executives Of Milwaukee-Based Medical Software Provider With Accounting Fraud
2009-232 Nov. 4, 2009 J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme
2009-231 Nov. 3, 2009 Norm Champ Named Associate Regional Director for Examinations in SEC New York Regional Office
2009-230 Oct. 30, 2009 Fee Rate Advisory #3 for Fiscal Year 2010
2009-229 Oct. 30, 2009 SEC Charges Former CFO and Six Relatives and Friends in California-Based Insider Trading Ring
2009-228 Oct. 30, 2009 SEC Office of the Chief Accountant Releases Staff Accounting Bulletin
2009-227 Oct. 22, 2009 SEC to Hold Small Business Capital Formation Forum on November 19
2009-226 Oct. 22, 2009 SEC Charges New York Broker for Manipulating Stock Prices Through Fake Press Releases and Internet Postings
2009-225 Oct. 22, 2009 SEC Charges Promoter, Brokers in Real Estate Investment Scheme Targeting Seniors at Free Lunch Seminars
2009-224 Oct. 22, 2009 SEC Launches Investor.gov
2009-223 Oct. 21, 2009 SEC Issues Proposals to Shed Greater Light on Dark Pools
2009-222 Oct. 21, 2009 Senior Supervisors Group Issues Report on Risk Management Practices
2009-221 Oct. 16, 2009 SEC Charges Billionaire Hedge Fund Manager Raj Rajaratnam With Insider Trading
2009-220 Oct. 16, 2009 Adam Storch Named Managing Executive of SEC’s Enforcement Division
2009-219 Oct. 16, 2009 SEC Charges Three South Florida Residents Targeting Haitian-American Investors in Ponzi Scheme
2009-218 Oct. 16, 2009 SEC and CFTC Issue Joint Report on Regulatory Harmonization
2009-217 Oct. 15, 2009 Barry Walters Named Chief Freedom of Information Act and Privacy Act Officer
2009-216 Oct. 8, 2009 SEC Publishes 2010-2015 Draft Strategic Plan for Public Comment
2009-215 Oct. 5, 2009 SEC Approves New Exchange Rules for Breaking Clearly Erroneous Trades
2009-214 Oct. 5, 2009 Lori Schock Named Director of SEC Office of Investor Education and Advocacy
2009-213 Oct. 2, 2009 Small Public Companies to Begin Providing Audited Assessment of Internal Controls Over Financial Reporting in Nine Months
Third Quarter
2009-212 Sep. 30, 2009 AGCO Corporation Agrees to Pay $18.3 Million to Settle SEC Charges of FCPA Violations
2009-211 Sep. 30, 2009 SEC and CFTC Chairmen Issue Update on Harmonization Report
2009-210 Sep. 29, 2009 SEC Charges Virtual Reality Product Maker and Individuals in Boiler Room Fraud
2009-209 Sep. 28, 2009 Fee Rate Advisory #2 for Fiscal Year 2010
2009-208 Sep. 28, 2009 SEC Charges Detroit-Area Stock Broker Who Lured Elderly into $250 Million Ponzi Scheme
2009-207 Sep. 25, 2009 SEC Announces Panelists for Securities Lending and Short Sale Roundtable
2009-206 Sep. 24, 2009 Brian Bussey Named Associate Director for Trading Practices and Processing in Division of Trading and Markets
2009-205 Sep. 24, 2009 Gregg Berman Named Senior Policy Advisor in SEC Division of Risk, Strategy, and Financial Innovation
2009-204 Sep. 24, 2009 SEC Conducts Regional Securities Market Oversight Training Program in Africa
2009-203 Sep. 23, 2009 SEC Charges Perot Company Employee in $8.6 Million Insider Trading Scheme
2009-202 Sep. 21, 2009 SEC Charges Regions Bank for Role in Offering Fraud Harming Latin American Investors
2009-201 Sep. 17, 2009 SEC Proposes Flash Order Ban
2009-200 Sep. 17, 2009 SEC Votes on Measures to Further Strengthen Oversight of Credit Rating Agencies
2009-199 Sep. 16, 2009 SEC Announces New Division of Risk, Strategy, and Financial Innovation
2009-198 Sep. 16, 2009 SEC and UK FSA Discuss Approaches to Global Regulatory Requirements
2009-197 Sep. 15, 2009 SEC Investor Advisory Committee Forms Subcommittees to Tackle Ambitious Agenda on Behalf of Investors
2009-196 Sep. 11, 2009 SEC to Hold Securities Lending and Short Sale Roundtable
2009-195 Sep. 8, 2009 SEC Charges Seattle-Area Biotech Company With Fraudulently Hyping Stem Cell Breakthrough
2009-194 Sep. 8, 2009 SEC Obtains Asset Freeze of North Carolina Couple Orchestrating $32.5 Million Investment Scheme
2009-193 Sep. 8, 2009 SEC Charges New York-Based Money Manager in $40 Million Ponzi Scheme
2009-192 Sep. 1, 2009 SEC Atlanta Regional Director Kit Addleman Leaving After 20 Years of Service
2009-191 Sep. 1, 2009 SEC Announces $35 Million Fair Fund Distribution to Defrauded Cardinal Health Investors
2009-190 Sep. 1, 2009 SEC and CFTC Announce Participants for Joint Meetings on Regulation Harmonization
2009-189 Aug. 31, 2009 Chairman Schapiro Issues Open Letter to Broker-Dealer CEOs
2009-188 Aug. 27, 2009 SEC Charges Las Vegas-Based Accountant for Issuing False Audit Reports
2009-187 Aug. 25, 2009 James L. Kroeker Named Chief Accountant at SEC
2009-186 Aug. 20, 2009 SEC, CFTC to Hold Joint Meetings on Regulation Harmonization
2009-185 Aug. 17, 2009 SEC Seeks Comment on Alternative Uptick Rule
2009-184 Aug. 13, 2009 SEC Charges Ohio-Based Investment Advisers for Fraudulently Overstating Assets
2009-183 Aug. 12, 2009 SEC Charges Terex Corporation With Accounting Fraud
2009-182 Aug. 11, 2009 SEC Charges Key Madoff Lieutenant for Operating and Concealing Fraud Through Bogus Trades and Documents
2009-181 Aug. 11, 2009 Eric J. Spitler Named Counselor to the Chairman and Director of the Office of Legislative and Intergovernmental Affairs
2009-180 Aug. 6, 2009 SEC Charges Hank Greenberg and Howard Smith for Roles in Alleged AIG Accounting Violations
2009-179 Aug. 5, 2009 SEC Charges Options Traders and Broker-Dealers for "Naked" Short Sale Rule Violations
2009-178 Aug. 4, 2009 SEC Charges General Electric With Accounting Fraud
2009-177 Aug. 3, 2009 SEC Charges Bank of America for Failing to Disclose Merrill Lynch Bonus Payments
2009-176 Jul. 30, 2009 David Nelson, Miami Regional Director, to Leave SEC
2009-175 Jul. 29, 2009 Announcement From the SEC Investor Advisory Committee
2009-174 Jul. 28, 2009 SEC Charges Four Arizona-Based Promoters in $197 Million Mortgage Lending Scheme
2009-173 Jul. 28, 2009 SEC Halts $50 Million Offering Fraud and Ponzi Scheme in Detroit Area
2009-172 Jul. 27, 2009 SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency
2009-171 Jul. 27, 2009 SEC Names Daniel L. Goelzer Acting Chairman of the PCAOB
2009-170 Jul. 23, 2009 SEC Approves Exemptions Allowing ICE Clear Europe Limited and Eurex Clearing AG to Operate Central Counterparties for Credit Default Swaps
2009-169 Jul. 23, 2009 SEC Charges Foreign Trader and Entities in Scheme Occurring Earlier This Week
2009-168 Jul. 22, 2009 SEC Proposes Measures to Curtail "Pay to Play" Practices
2009-167 Jul. 22, 2009 SEC Seeks Return of $4 Million in Bonuses and Stock Sale Profits From Former CEO of CSK Auto Corp.
2009-166 Jul. 21, 2009 SEC Charges Morgan Keegan for Fraudulent Marketing and Sales of Auction Rate Securities
2009-165 Jul. 21, 2009 SEC Charges Perry Corp. With Disclosure Violations in Vote Buying Scheme
2009-164 Jul. 20, 2009 SEC Charges Morgan Stanley and Former Adviser with Misleading Clients
2009-163 Jul. 20, 2009 SEC Charges TD Ameritrade for Auction Rate Securities Sales Practices
2009-162 Jul. 16, 2009 John R. Robinson Named Division of Corporation Finance Academic Accounting Fellow
2009-161 Jul. 15, 2009 SEC Votes to Propose Rules Enhancing Municipal Securities Disclosure
2009-160 Jul. 15, 2009 SEC Charges 11 Individuals for Insider Trading Ahead of Merger Announcements
2009-159 Jul. 14, 2009 SEC Freezes Assets of Florida Resident Stealing Investor Funds for Luxury Purchases
2009-158 Jul. 13, 2009 Ronald Crawford Named SEC's First Chief Counsel For Diversity Initiatives
2009-157 Jul. 13, 2009 SEC Charges Seattle Attorney and Accomplices with Orchestrating Stock Dumping Scheme
2009-156 Jul. 10, 2009 SEC Freezes Assets of Illinois-Based Hedge Fund Manager Who Was $2 Billion Feeder to Petters Ponzi Scheme
2009-155 Jul. 10, 2009 SEC Charges Ameriprise in Fraudulent Scheme to Obtain Undisclosed Compensation
2009-154 Jul. 9, 2009 SEC Staff Statement on California IOUs
2009-153 Jul. 8, 2009 Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC
2009-152 Jul. 8, 2009 SEC Charges N.Y.-Based Broker-Dealer and Founder in Multi-Million Dollar Transatlantic Boiler Room Scheme
2009-151 Jul. 7, 2009 SEC Obtains Asset Freeze in $485 Million Nationwide Offering Fraud
2009-150 Jul. 2, 2009 Lorin L. Reisner to Join SEC Enforcement Division
2009-149 Jul. 2, 2009 Office of the Chief Accountant Names Academic Fellows
2009-148 Jul. 2, 2009 SEC Suspends Trading in Florida-Based Music Production Firm
2009-147 Jul. 1, 2009 SEC Proposes Measures to Improve Corporate Governance and Enhance Investor Confidence
2009-146 Jul. 1, 2009 SEC Charges Former Chief Accounting Officer of Beazer Homes for Fraudulent Earnings Management Scheme
Second Quarter
2009-145 Jun. 30, 2009 New York-Based Firm and Brokers Charged With Fraudulent Sales of Variable Annuities
2009-144 Jun. 24, 2009 SEC Charges California-Based Hedge Fund Manager for Operating Ponzi-Like Scheme
2009-143 Jun. 24, 2009 SEC Charges Massachusetts-Based Money Manager in Multi-Million Dollar Ponzi Scheme
2009-142 Jun. 24, 2009 SEC Proposes Rule Amendments to Strengthen Regulatory Framework for Money Market Funds
2009-141 Jun. 22, 2009 SEC Charges Madoff Solicitors and Feeder With Fraud
2009-140 Jun. 19, 2009 SEC Charges Two Accountants and Antiguan Regulator for Roles in Stanford Ponzi Scheme
2009-139 Jun. 17, 2009 SEC Charges Former Quest Executives With Fraudulently Concealing Millions of Dollars of Self-Dealing
2009-138 Jun. 15, 2009 SEC, DOL Announce Panelists, Agenda for Joint Hearing on Target Date Funds
2009-137 Jun. 15, 2009 SEC Halts Ponzi Scheme Run by Convicted Felon Siphoning Investor Funds for Sports Talk Venture
2009-136 Jun. 15, 2009 Information for Investors in the Reserve Primary Fund
2009-135 Jun. 12, 2009 SEC Obtains Asset Freeze to Halt Nationwide Prime Bank Scheme
2009-134 Jun. 12, 2009 SEC and ASC Charge Alabama Broker-Dealer for Rampant Churning and Extensive Supervisory Violations
2009-133 Jun. 10, 2009 Chairman Schapiro Statement on Executive Compensation
2009-132 Jun. 10, 2009 SEC Charges New York-Based Investment Adviser for Stealing Client Funds
2009-131 Jun. 9, 2009 SEC Charges Operators of $80 Million Ponzi Scheme Targeting Korean-Americans
2009-130 Jun. 8, 2009 SEC Charges Evergreen for Overvaluing Holdings in Mortgage-Backed Securities and Making Selective Disclosures to Investors
2009-129 Jun. 4, 2009 SEC Charges Former Countrywide Executives With Fraud
2009-128 Jun. 4, 2009 SEC Office of the Chief Accountant Releases Staff Accounting Bulletin
2009-127 Jun. 3, 2009 SEC Finalizes ARS Settlements With Bank of America, RBC, and Deutsche Bank
2009-126 Jun. 3, 2009 SEC Announces Creation of Investor Advisory Committee
2009-125 Jun. 2, 2009 George S. Canellos Named Regional Director of SEC New York Regional Office
2009-124 Jun. 1, 2009 SEC Announces $78 Million Fair Fund Distribution to Harmed Investors in AIM Mutual Funds
2009-123 May 28, 2009 SEC Charges 10 Brokers with Fraud for Disguising Risks of Investing in Mortgage-Backed Securities
2009-122 May 26, 2009 SEC Halts Foreign Exchange Offering Fraud by College Professor and Houston-Based Lawyer
2009-121 May 22, 2009 SEC Takes Steps to Strengthen Existing Rules Governing Securities Trading by Personnel
2009-120 May 22, 2009 SEC, DOL Accepting Requests to Participate in Joint Hearing Examining Target Date Funds
2009-119 May 21, 2009 SEC Obtains Asset Freeze Of Wisconsin-Based Investment Adviser Charged in Kickback Scheme
2009-118 May 21, 2009 SEC Charges Florida Trader for Issuing Fake Press Release to Manipulate Stock Price
2009-117 May 21, 2009 SEC Charges Eight Participants in Penny Stock Manipulation Ring
2009-116 May 20, 2009 SEC Votes to Propose Rule Amendments to Facilitate Rights of Shareholders to Nominate Directors
2009-115 May 19, 2009 SEC Announces $843 Million Fair Fund Distribution to Harmed AIG Investors
2009-114 May 18, 2009 SEC to Hold Public Seminar on New Interactive Data Reporting Requirements
2009-113 May 18, 2009 SEC Charges Monster Worldwide Inc. for Backdating Scheme
2009-112 May 15, 2009 SEC Announces First Distribution From $267 Million Bear Stearns Fair Fund
2009-111 May 14, 2009 Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC
2009-110 May 14, 2009 SEC Brings Emergency Charges Involving Fraudulent Securities Sold on Craigslist
2009-109 May 14, 2009 SEC Proposes Rule Amendments to Strengthen Safeguards of Investor Funds Controlled by Investment Advisers
2009-108 May 12, 2009 SEC Charges Los Angeles-Based "Finder" in Kickback Scheme Involving N.Y. Pension Fund
2009-107 May 12, 2009 SEC, DOL to Hold Joint Hearing Examining Target Date Funds
2009-106 May 8, 2009 Michael Lauer to Pay More Than $62 Million in Hedge Fund Fraud Case
2009-105 May 8, 2009 SEC Charges Investment Adviser for Proxy Voting Rule Violations
2009-104 May 5, 2009 SEC Charges Operators of Reserve Primary Fund With Fraud
2009-103 May 5, 2009 SEC Charges Attorneys for Fraudulent Legal Opinions Used by Promoters in Pump-and-Dump Scheme
2009-102 May 5, 2009 SEC Charges Hedge Fund Manager and Bond Salesman in First Insider Trading Case Involving Credit Default Swaps
2009-101 May 1, 2009 SEC Announces Agenda and Panelists For Roundtable on Short Selling
2009-100 Apr. 30, 2009 Fee Rate Advisory #1 for Fiscal Year 2010
2009-99 Apr. 30, 2009 SEC Charges Wall Street Investment Banker and Seven Others in Widespread Insider Trading Scheme
2009-98 Apr. 30, 2009 SEC Announces New Initiative to Identify and Assess Risks in Financial Markets
2009-97 Apr. 30, 2009 SEC Charges Investment Management Firm and Principal in Kickback Scheme Involving N.Y. Pension Fund
2009-96 Apr. 29, 2009 SEC Halts Beverly Hills Hedge Fund Fraud
2009-95 Apr. 29, 2009 Office of the Chief Accountant Selects Four Professional Accounting Fellows
2009-94 Apr. 28, 2009 SEC Announces CCOutreach Regional Seminars for Adviser and Fund Chief Compliance Officers
2009-93 Apr. 28, 2009 SEC Charges Oklahoma-Based Attorney With Insider Trading
2009-92 Apr. 28, 2009 SEC Charges Former American Home Mortgage Executives for Misleading Investors About Company's Financial Condition
2009-91 Apr. 27, 2009 James Brigagliano, Daniel Gallagher Named Co-Acting Directors of SEC Division of Trading and Markets
2009-90 Apr. 27, 2009 SEC Charges Connecticut-Based Hedge Fund in Multi-Million Dollar Fraud
2009-89 Apr. 27, 2009 SEC Freezes Assets of Financier Danny Pang for Misrepresenting Investments and Forging Documents to Investors
2009-88 Apr. 24, 2009 SEC to Hold Roundtable on May 5 to Examine Short Sale Price Test and Circuit Breaker Restrictions
2009-87 Apr. 23, 2009 SEC Obtains Asset Freeze of Florida-Based Investment Adviser Defrauding Investors
2009-86 Apr. 22, 2009 SEC Charges Investment Adviser That Recommended Bayou Hedge Funds to Clients
2009-85 Apr. 20, 2009 SEC Halts Multi-Million Dollar Fraud Conducted by Philadelphia-Area Investment Adviser
2009-84 Apr. 15, 2009 Commission Reopens Comment Period On Proposal For Model Privacy Form Under Gramm-Leach-Bliley Act
2009-83 Apr. 15, 2009 SEC Charges Former State Political Party Leader and Hedge Fund Manager in Kickback Scheme Involving N.Y. Pension Fund
2009-82 Apr. 14, 2009 Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 111
2009-81 Apr. 14, 2009 SEC Announces 100 Percent Return of Funds to Defrauded Concorde America and Absolute Health Investors
2009-80 Apr. 14, 2009 SEC Charges Seven Church Leaders in Fraudulent Investment Scheme That Targeted Parishioners
2009-79 Apr. 13, 2009 SEC Charges California Promoter for Operating Ponzi Scheme Targeting Hispanic-American Community
2009-78 Apr. 13, 2009 Meredith Cross Named New Director of SEC Division of Corporation Finance
2009-77 Apr. 9, 2009 SEC Charges Georgia Attorney for Conducting Multi-Million Dollar Ponzi Scheme
2009-76 Apr. 8, 2009 SEC Seeks Comments on Short Sale Price Test and Circuit Breaker Restrictions
2009-75 Apr. 8, 2009 SEC Charges Colorado Advisor for Conducting Multi-Million Dollar Ponzi Scheme
2009-74 Apr. 6, 2009 SEC Obtains Asset Freeze In Ponzi Scheme Targeting Chinese-American Community in Dallas Area
2009-73 Apr. 1, 2009 SEC Halts Multi-Million Dollar Ponzi Scheme Operated By Long Island Investment Adviser
2009-72 Apr. 1, 2009 SEC Charges Take-Two for Stock Options Backdating Scheme
First Quarter
2009-71 Mar. 31, 2009 SEC Charges Seattle-Area Firm in Multi-Million Dollar Scam Targeting Religious Community and Charitable Investors
2009-70 Mar. 31, 2009 Erik R. Sirri, Director of Division of Trading and Markets, to Leave SEC
2009-69 Mar. 27, 2009 SEC Announces Distribution of $60 Million Fair Fund to MBIA Investors Harmed by Accounting Fraud
2009-68 Mar. 26, 2009 SEC Halts $68 Million Ponzi Scheme Involving Caribbean-Based Bank and Swiss Affiliate
2009-67 Mar. 25, 2009 SEC Freezes Assets of Chicago-Area Investment Adviser for Defrauding Clients
2009-66 Mar. 25, 2009 SEC Awarded LEED Gold Environmental Certification
2009-65 Mar. 24, 2009 SEC Announces Panelists and Agenda for Credit Rating Agencies Roundtable
2009-64 Mar. 24, 2009 Didem Nisanci Named SEC Chief of Staff
2009-63 Mar. 23, 2009 SEC Obtains Emergency Asset Freeze to Halt Ongoing Fraud by California Company
2009-62 Mar. 19, 2009 SEC Charges Former N.Y. State Official and Top Political Advisor for Defrauding New York's Retirement Fund in Multi-Million Dollar Kickback Scheme
2009-61 Mar. 18, 2009 Two Texas Individuals Settle SEC Charges in Spam Scam Case
2009-60 Mar. 18, 2009 SEC Charges Madoff Auditors With Fraud
2009-59 Mar. 16, 2009 SEC Names Julie Zelman Davis as Deputy Director of Legislative Affairs
2009-58 Mar. 13, 2009 SEC Approves Exemptions Allowing Chicago Mercantile Exchange to Operate as Central Counterparty for Credit Default Swaps
2009-57 Mar. 12, 2009 SEC Charges Quest Software and Three Executives for Stock Option Backdating
2009-56 Mar. 11, 2009 Fee Rate Advisory #5 for Fiscal Year 2009
2009-55 Mar. 11, 2009 SEC Charges Two Northern California Residents in $40 Million Ponzi Scheme
2009-54 Mar. 11, 2009 SEC Charges Merrill Lynch For Failure to Protect Customer Order Information on "Squawk Boxes"
2009-53 Mar. 10, 2009 SEC, FINRA Announce 2009 CCOutreach BD Regional Seminars
2009-52 Mar. 9, 2009 Senior Supervisors Group Issues Report on Management of Recent Credit Default Swap Credit Events
2009-51 Mar. 9, 2009 SEC Charges Investment Adviser For Inventing a Billion-Dollar Client to Lure New Investors
2009-50 Mar. 6, 2009 Fee Rate Advisory #4 for Fiscal Year 2009
2009-49 Mar. 6, 2009 SEC Approves Exemptions Allowing ICE US Trust LLC to Operate as Central Counterparty for Credit Default Swaps
2009-48 Mar. 6, 2009 Mark Cahn Named Deputy General Counsel at SEC
2009-47 Mar. 6, 2009 Jeffrey Singdahlsen Named SEC Associate General Counsel
2009-46 Mar. 6, 2009 SEC Roundtable to Examine Oversight of Credit Rating Agencies
2009-45 Mar. 5, 2009 SEC Obtains Emergency Asset Freeze to Halt Multi-Million Dollar Real Estate Investment Fraud
2009-44 Mar. 5, 2009 SEC Revamping Process for Reviewing Whistleblower Complaints and Enforcement Tips
2009-43 Mar. 4, 2009 James Brigagliano Named Deputy Director in SEC Division of Trading and Markets
2009-42 Mar. 4, 2009 SEC Charges 14 Specialist Firms for Improper Proprietary Trading
2009-41 Mar. 4, 2009 Fee Rate Advisory #3 for Fiscal Year 2009
2009-40 Mar. 3, 2009 SEC Charges Los Angeles-Based Investment Adviser for Taking Warrants Paid for by Clients
2009-39 Mar. 2, 2009 SEC Warns Investors and Financial Firms of Government Impersonators
2009-38 Mar. 2, 2009 SEC Charges Operators of Multi-Billion Dollar Real Estate Enterprise With Fraud
2009-37 Feb. 26, 2009 Statement From Chairman Schapiro on Proposed Budget for SEC
2009-36 Feb. 25, 2009 SEC Obtains Emergency Asset Freeze to Halt $30 Million "Fund of Funds" Investment Scheme
2009-35 Feb. 25, 2009 SEC Charges Two New York Residents For Misappropriating More Than $500 Million in Investment Scheme
2009-34 Feb. 25, 2009 SEC Charges Unregistered Hedge Fund with Fraud
2009-33 Feb. 24, 2009 Michael Conley Named SEC Deputy Solicitor
2009-32 Feb. 19, 2009 SEC Statement on the Case Against R. Allen Stanford
2009-31 Feb. 19, 2009 Robert Khuzami Named SEC Director of Enforcement
2009-30 Feb. 19, 2009 SEC Halts Ponzi Scheme Targeting Deaf Investors
2009-29 Feb. 18, 2009 UBS Agrees to Pay $200 Million to Settle SEC Charges for Violating Registration Requirements
2009-28 Feb. 18, 2009 Acting General Counsel Andrew Vollmer to Leave SEC
2009-27 Feb. 17, 2009 SEC Charges Research in Motion and Four Senior Executives With Stock Option Backdating
2009-26 Feb. 17, 2009 SEC Charges R. Allen Stanford, Stanford International Bank for Multi-Billion Dollar Investment Scheme
2009-25 Feb. 17, 2009 Kayla J. Gillan Named Senior Advisor at SEC
2009-24 Feb. 12, 2009 SEC Charges Canadian Citizen for Market Manipulation Schemes
2009-23 Feb. 11, 2009 SEC Charges KBR and Halliburton for FCPA Violations
2009-22 Feb. 9, 2009 Enforcement Director Linda Chatman Thomsen to Leave SEC
2009-21 Feb. 6, 2009 SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing
2009-20 Feb. 6, 2009 David M. Becker Named SEC General Counsel and Senior Policy Director
2009-19 Feb. 5, 2009 Robert Malhotra Named Senior Advisor in SEC Office of the Chief Accountant
2009-18 Feb. 5, 2009 SEC Charges Wall Street Professionals and Others in Insider Trading Ring
2009-17 Feb. 5, 2009 SEC Finalizes ARS Settlement to Provide $7 Billion in Liquidity to Wachovia Investors
2009-16 Feb. 4, 2009 SEC Halts Massive International Boiler Room Scheme
2009-15 Feb. 4, 2009 SEC Freezes Assets of Private Fund Manager Misappropriating Investor Funds
2009-14 Feb. 2, 2009 Robert Colby, Deputy Director of Trading and Markets Division, to Leave SEC After 27 Years of Service
2009-13 Jan. 30, 2009 SEC Charges Merrill Lynch With Misleading Pension Consulting Clients
2009-12 Jan. 28, 2009 SEC Charges Nashville-Based Financial Planner With Fraud Involving Purported Investments in TARP
2009-11 Jan. 27, 2009 Mary Schapiro Sworn In as Chairman of SEC
2009-10 Jan. 21, 2009 SEC Charges Missing Trader for Defrauding Investors at Sarasota-Based Hedge Funds
2009-9 Jan. 21, 2009 Andrew Vollmer Named Acting General Counsel of SEC
2009-8 Jan. 19, 2009 Peter Uhlmann to Step Down as SEC Chief of Staff
2009-7 Jan. 16, 2009 SEC Staff Extends Sarbanes-Oxley Survey to January 31
2009-6 Jan. 15, 2009 SEC Charges CRE Capital Corporation and James G. Ossie With Conducting Multi-Million Dollar Ponzi Scheme
2009-5 Jan. 8, 2009 SEC Charges Joseph S. Forte for Conducting Multi-Million Dollar Ponzi Scheme
2009-4 Jan. 6, 2009 James L. Kroeker Named Acting Chief Accountant
2009-3 Jan. 5, 2009 Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance
2009-2 Jan. 5, 2009 Alta G. Rodriguez Named SEC's Acting EEO Director
2009-1 Jan. 5, 2009 Barbara Lorenzen Named Associate Regional Director for Examinations in SEC’s Chicago Regional Office

http://www.sec.gov/news/press/pressarchive/2009press.shtml


Modified: 05/17/2011