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Showing posts with the label Financial And Forex Info | SEC Enforcement Actions

SEC Enforcement Actions: Halts Fraud by Manager of Startup Quantitative Hedge Fund

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08/31/2011 The Securities and Exchange Commission announced an asset freeze against a Chicago-area money manager and his hedge fund advisory firm that the SEC charged with lying to prospective investors in their startup quantitative hedge fund. SEC Halts Fraud by Manager of Startup Quantitative Hedge Fund

SEC Enforcement Actions:Securities and Exchange Commission v. Compania International Financiera S.A | SEC Obtains Court Orders Continuing Freeze on More than $32 Million in Assets of Three Swiss Entities in Insider Trading Case

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U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22055 / August 1, 2011 Securities and Exchange Commission v. Compania International Financiera S.A., et al., Civil Action No. 11-cv-04904-DLC, United States District Court, Southern District of New York SEC OBTAINS COURT ORDERS CONTINUING FREEZE ON MORE THAN $32 MILLION IN ASSETS OF THREE SWISS ENTITIES IN INSIDER TRADING CASE The Securities and Exchange Commission announced today that it has obtained court orders continuing asset freezes on more than $32 million in assets controlled by three Swiss entities charged with insider trading ahead of a July 11, 2011 public announcement that Swiss-based Lonza Group Ltd. will acquire Connecticut-based Arch Chemicals, Inc. The Commission filed its action on July 15, 2011, in the U.S. District Court for the Southern District of New York, and the court issued a temporary asset freeze that day against defendants Compania International Financier

Financial And Forex Info : SEC Charges Three Firms and Four Individuals in Los Angeles-Based Boiler Room Operation.

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The Securities and Exchange Commission today charged three firms and four individuals involved in a boiler room scheme operating out of Los Angeles that defrauded investors who they persuaded to buy purportedly profitable trading systems. SEC Charges Three Firms and Four Individuals in Los Angeles-Based Boiler Room Operation