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News and Alerts

06/13/2016

SEC: Muni Advisors Acted Deceptively With California School Districts

The Securities and Exchange Commission today announced that two California-based municipal advisory firms and their executives have agreed to settle charges that they used deceptive practices when soliciting the business of five California school districts. Read more

06/10/2016

Investment Fraud Victims Include Online Daters

The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained against a Connecticut man accused of misleading people into investing in his company and then taking their money for his personal use. His victims include several women he met through an online dating websiteRead more

06/10/2016

SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S.

The Securities and Exchange Commission today announced that Ethiopia’s electric utility has agreed to pay nearly $6.5 million to settle charges that it violated U.S. securities laws by failing to register bonds it offered and sold to U.S residents of Ethiopian descent. Read more

06/09/2016

SEC Issues $17 Million Whistleblower Award

The Securities and Exchange Commission today announced a whistleblower award of more than $17 million to a former company employee whose detailed tip substantially advanced the agency’s investigation and ultimate enforcement action.Read more

06/08/2016

SEC: Morgan Stanley Failed to Safeguard Customer Data

The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online.Read more