- Fraud charges against Computer Sciences Corporation and former executives for manipulating financial results and concealing significant problems about the company’s largest and most high-profile contract, resulting in a $190 million penalty against CSC and approximately $5 million in monetary sanctions against the executives.
- Fraud charges and an emergency asset freeze against the operator of a $600 million online Pyramid and Ponzi scheme and his company for illegally raising money from more than one million Internet customers nationwide and overseas through the website ZeekRewards.com.
- Charges against two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets for failing to accurately describe the order types being used on the exchanges.
- Fraud charges against three brokerage subsidiaries and two former employees of global trading services provider ConvergEx Group LLC and the former CEOs of two of the brokerage subsidiaries – ConvergEx Global Markets and G-Trade Services LLC, in a scheme causing many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders.
- Charges against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers.
- The SEC’s first charges in an EB-5 visa offering fraud against Anshoo R. Sethi and two companies Sethi created to sell more than $147 million in securities to purportedly finance the construction of a hotel and conference center near Chicago’s O’Hare Airport.