| Release No. |
Date |
Details |
| Third Quarter |
| 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 |
