Sunday, December 23, 2012

charged two investment advisory firms and two portfolio managers for Roles in Collapse of Midwest-Based Closed-End Fund

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Source-  http://www.sec.gov/news/press/2012/2012-272.htm Washington, D.C., Dec. 19, 2012 — The Securities and Exchange Commission today ...
Saturday, December 22, 2012

SEC Revokes Registration of Toronto-Based Broker and Bans Two Executives from U.S. Securities Industry for Allowing Layering

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Source-  http://www.sec.gov/news/press/2012/2012-271.htm Washington, D.C., Dec. 18, 2012 — The Securities and Exchange Commission today ...
Friday, December 21, 2012

Financial Media Company and Executives Involved in Accounting Fraud

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Source-  http://www.sec.gov/news/press/2012/2012-270.htm Washington, D.C., Dec. 18, 2012 — The Securities and Exchange Commission today ...
Thursday, December 20, 2012

SEC Charges Eli Lilly and Company with FCPA Violations

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Source-  http://www.sec.gov/news/press/2012/2012-273.htm Washington, D.C., Dec. 20, 2012 — The Securities and Exchange Commission today ...
Wednesday, December 19, 2012

Aladdin Capital, Connecticut-Based Investment Adviser was Charged for “Skin in the Game” Misstatements About CDOs

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Source-  http://www.sec.gov/news/press/2012/2012-267.htm Washington, D.C., Dec. 17, 2012 — The Securities and Exchange Commission today ...
Tuesday, December 18, 2012

SEC Charges Germany-Based Allianz SE with FCPA Violations

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Source-  http://www.sec.gov/news/press/2012/2012-266.htm Washington, D.C., Dec. 17, 2012 — The Securities and Exchange Commission today ...
Monday, December 17, 2012

W. Mark Miller Provident CFO Indicted in $485 Million Investment Fraud Scheme

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Source-  http://www.fbi.gov/dallas/press-releases/2012/provident-cfo-indicted-in-485-million-investment-fraud-scheme PLANO, TX—A 59-year...
Sunday, December 16, 2012

Former Robertson County Commissioner Edward Shannon Polen Pleads Guilty to Operating Ponzi Schemes Totaling $16 Million

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Source-  http://www.fbi.gov/memphis/press-releases/2012/former-robertson-county-commissioner-edward-shannon-polen-pleads-guilty-to-opera...
Saturday, December 15, 2012

Former Wells Fargo Investment Banker and Co-Conspirators Charged with $11 Million Insider Trading Conspiracy

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Source-  http://www.fbi.gov/charlotte/press-releases/2012/former-wells-fargo-investment-banker-and-co-conspirators-charged-with-11-milli...
Friday, December 14, 2012

David Steven Goldfarb, 64, of Scottsdale, Arizona, was Sentenced to 36 Months in Federal Prison

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Source-  http://www.fbi.gov/phoenix/press-releases/2012/former-president-of-corf-licensing-services-sentenced-to-federal-prison-for-inve...
Thursday, December 13, 2012

Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks

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Source-  http://www.sec.gov/news/press/2012/2012-264.htm Washington, D.C., Dec. 12, 2012 — The Securities and Exchange Commission toda...
Wednesday, December 12, 2012

SEC Charges New York-Based Fund Manager Steven B. Hart with Conducting Fraudulent Trading Schemes

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Source-  http://www.sec.gov/news/press/2012/2012-261.htm Washington, D.C., Dec. 11, 2012 — The Securities and Exchange Commission today ...
Tuesday, December 11, 2012

SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation

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Source-  http://www.sec.gov/news/press/2012/2012-259.htm Washington, D.C., Dec. 10, 2012 — The Securities and Exchange Commission today ...
Monday, December 10, 2012

SEC Charges Claudio Osorio Prominent Entrepreneur in Miami-Based Scheme

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Source-  http://www.sec.gov/news/press/2012/2012-258.htm Washington, D.C., Dec. 7, 2012 — The Securities and Exchange Commission today c...