| Release No. |
Date |
Details |
| Second Quarter |
| 2012-92 |
May 14, 2012 |
SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family
|
| 2012-91 |
May 14, 2012 |
SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams
|
| 2012-90 |
May 10, 2012 |
SEC Charges Scotland-Based Firm for Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors
|
| 2012-89 |
May 9, 2012 |
SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities |
| 2012-88 |
May 9, 2012 |
SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme |
| 2012-87 |
May 9, 2012 |
SEC Charges Deloitte & Touche in Shanghai with Violating U.S. Securities Laws in Refusal to Produce Documents |
| 2012-86 |
May 8, 2012 |
SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading |
| 2012-85 |
May 7, 2012 |
Joint Statement on Regulation of OTC Derivatives Markets
|
| 2012-84 |
May 7, 2012 |
SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme
|
| 2012-83 |
May 3, 2012 |
SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers
|
| 2012-82 |
May 2, 2012 |
SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts
|
| 2012-81 |
May 1, 2012 |
SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers
|
| 2012-80 |
Apr. 30, 2012 |
SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme
|
| 2012-79 |
Apr. 30, 2012 |
George Canellos Named Deputy Director of SEC Enforcement Division
|
| 2012-78 |
Apr. 25, 2012 |
SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud
|
| 2012-77 |
Apr. 25, 2012 |
Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32 Million Insider Trading Case
|
| 2012-76 |
Apr. 24, 2012 |
H&R Block Subsidiary Agrees to Pay $28.2 Million to Settle SEC Charges Related to Subprime Mortgage Investments
|
| 2012-75 |
Apr. 24, 2012 |
Egan-Jones Ratings Co. and Sean Egan Charged with Making Material Misrepresentations to SEC
|
| 2012-74 |
Apr. 23, 2012 |
SEC Charges Chinese Company and Executives with Lying About Asset Values and Use of IPO Proceeds
|
| 2012-73 |
Apr. 23, 2012 |
SEC Charges Former CalPERS CEO and Friend With Falsifying Letters in $20 Million Placement Agent Fee Scheme
|
| 2012-72 |
Apr. 20, 2012 |
SEC Charges British Twin Brothers Touting "Stock Picking Robot" in Internet Pump-and-Dump Scheme
|
| 2012-71 |
Apr. 20, 2012 |
SEC Charges Father-and-Son Hedge Fund Managers Who Agree to Pay $4.8 Million to Settle Fraud Case
|
| 2012-70 |
Apr. 19, 2012 |
Volcker Rule Conformance Period Clarified
|
| 2012-69 |
Apr. 19, 2012 |
SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation
|
| 2012-68 |
Apr. 19, 2012 |
SEC Charges Ox Trading, optionsXpress, and Former CFO with Registration Violations
|
| 2012-67 |
Apr. 18, 2012 |
SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives
|
| 2012-66 |
Apr. 16, 2012 |
SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme
|
| 2012-65 |
Apr. 16, 2012 |
CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents
|
| 2012-64 |
Apr. 13, 2012 |
SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles
|
| 2012-63 |
Apr. 12, 2012 |
Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division
|
| 2012-62 |
Apr. 12, 2012 |
SEC Charges Ponzi Schemer Targeting Church Congregations
|
| 2012-61 |
Apr. 12, 2012 |
SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research “Huddles”
|
| 2012-60 |
Apr. 11, 2012 |
SEC Seeks Public Comment Prior to JOBS Act Rulemaking
|
| 2012-59 |
Apr. 11, 2012 |
SEC Charges China-Based Company and Others with Stock Manipulation
|
| 2012-58 |
Apr. 9, 2012 |
SEC Announces Members of New Investor Advisory Committee
|
| 2012-57 |
Apr. 9, 2012 |
SEC Settles Fraud Charges Against Silicon Valley Man
|
| 2012-56 |
Apr. 6, 2012 |
SEC Charges South Florida Man in Investment Fraud Scheme
|
| 2012-55 |
Apr. 6, 2012 |
SEC Charges Texas Bank Holding Company’s CEO and CFO with Misleading Investors About Loan Quality and Financial Health During the Financial Crisis
|
| 2012-54 |
Apr. 6, 2012 |
SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading
|
| 2012-53 |
Apr. 3, 2012 |
SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds
|
| 2012-52 |
Apr. 3, 2012 |
U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight
|
| 2012-51 |
Apr. 2, 2012 |
SEC Sues Two Executives in Texas to Recover Bonuses and Stock Profits Received During Accounting Fraud
|
| First Quarter |
| 2012-50 |
Mar. 26, 2012 |
SEC Charges Medical Device Company Biomet with Foreign Bribery
|
| 2012-49 |
Mar. 23, 2012 |
SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts
|
| 2012-48 |
Mar. 19, 2012 |
SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds
|
| 2012-47 |
Mar. 15, 2012 |
Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions
|
| 2012-46 |
Mar. 15, 2012 |
SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme
|
| 2012-45 |
Mar. 15, 2012 |
SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report
|
| 2012-44 |
Mar. 15, 2012 |
SEC Charges Chicago-Based Management Consultant With Insider Trading
|
| 2012-43 |
Mar. 14, 2012 |
SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares |
| 2012-42 |
Mar. 13, 2012 |
SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers in Midst of Financial Crisis |
| 2012-41 |
Mar. 13, 2012 |
SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm
|
| 2012-40 |
Mar. 8, 2012 |
SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading |
| 2012-39 |
Mar. 7, 2012 |
SEC Charges CEO of Las Vegas-Based Penny Stock Company and Several Consultants in Pump-and-Dump Scheme |
| 2012-38 |
Mar. 6, 2012 |
SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors |
| 2012-37 |
Mar. 2, 2012 |
Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case
|
| 2012-36 |
Mar. 2, 2012 |
Marshall Gandy Named Head of Examinations Program in SEC’s Fort Worth Regional Office
|
| 2012-35 |
Mar. 1, 2012 |
Fee Rate Advisory #6 for Fiscal Year 2012
|
| 2012-34 |
Feb. 28, 2012 |
SEC Proposes Rules To Help Prevent And Detect Identity Theft
|
| 2012-33 |
Feb. 27, 2012 |
SEC Releases Risk Alert on Unauthorized Trading
|
| 2012-32 |
Feb. 24, 2012 |
SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria
|
| 2012-31 |
Feb. 22, 2012 |
SEC Charges China-Based Executives with Securities Fraud
|
| 2012-30 |
Feb. 17, 2012 |
SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector
|
| 2012-29 |
Feb. 15, 2012 |
SEC Tightens Rules on Advisory Performance Fee Charges
|
| 2012-28 |
Feb. 13, 2012 |
Director of L.A. Office Rosalind Tyson to Retire after 30 Years of SEC Service
|
| 2012-27 |
Feb. 10, 2012 |
SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case
|
| 2012-26 |
Feb. 9, 2012 |
SEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech Deals
|
| 2012-25 |
Feb. 6, 2012 |
SEC Charges Smith & Nephew PLC with Foreign Bribery
|
| 2012-24 |
Feb. 3, 2012 |
SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board
|
| 2012-23 |
Feb. 1, 2012 |
SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis
|
| 2012-22 |
Jan. 31, 2012 |
SEC Charges Brothers With Short Selling Violations
|
| 2012-21 |
Jan. 30, 2012 |
SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company
|
| 2012-20 |
Jan. 27, 2012 |
SEC Deputy Inspector General to Serve as Agency’s Interim Inspector General |
| 2012-19 |
Jan. 26, 2012 |
SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday
|
| 2012-18 |
Jan. 26, 2012 |
SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme
|
| 2012-17 |
Jan. 26, 2012 |
SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme
|
| 2012-16 |
Jan. 23, 2012 |
Diamondback Capital Agrees to Settle SEC Insider Trading Charges |
| 2012-15 |
Jan. 20, 2012 |
Fee Rate Advisory #5 for Fiscal Year 2012 |
| 2012-14 |
Jan. 18, 2012 |
SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds after Charging Them and Their Principal with Fraud |
| 2012-13 |
Jan. 18, 2012 |
SEC Charges Florida Bank Holding Company and CEO with Misleading Investors about Loan Risks During Financial Crisis |
| 2012-12 |
Jan. 18, 2012 |
SEC Seeks Public Comment for Financial Literacy Study Mandated by Dodd-Frank Act
|
| 2012-11 |
Jan. 18, 2012 |
SEC Charges Fund Managers and Analysts in Insider Trading Scheme
|
| 2012-10 |
Jan. 17, 2012 |
SEC Names Jane Norberg as Deputy Chief of Whistleblower Office
|
| 2012-9 |
Jan. 17, 2012 |
SEC Inspector General H. David Kotz to Leave Commission
|
| 2012-8 |
Jan. 17, 2012 |
SEC Charges UBS Global Asset Management for Pricing Violations in Mutual Fund Portfolios
|
| 2012-7 |
Jan. 12, 2012 |
Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators
|
| 2012-6 |
Jan. 12, 2012 |
SEC Names Robert Fisher as Deputy Director in Office of International Affairs
|
| 2012-5 |
Jan. 5, 2012 |
Administrative Law Judge Robert G. Mahony Retires After 46 Years of Federal Service
|
| 2012-4 |
Jan. 4, 2012 |
SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
|
| 2012-3 |
Jan. 4, 2012 |
SEC Charges Illinois-Based Adviser in Social Media Scam
|
| 2012-2 |
Jan. 3, 2012 |
SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud
|
| 2012-1 |
Jan. 3, 2012 |
SEC Names Pamela A. Gibbs as Director of the Office of Minority and Women Inclusion
|
