office for the District of New Jersey

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  SEC Enforcement Roundup: Hedge Fund Manager Fined $44 Million in China Scheme

  By Marlene Y. Satter, AdvisorOne  |  December 13, 2012

  Among recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.

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  SEC Enforcement Roundup: High School Dropout ‘Advisor’ Busted for Fraud

  By Marlene Y. Satter, AdvisorOne  |  November 20, 2012

  The SEC charged a man who was high school dropout and a phony “investment advisor” who spent his clients’ funds on drugs and gambling; and a group of former high school buddies were charged with engaging in insider trading.

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  SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec Charged

  By Marlene Y. Satter, AdvisorOne  |  August 2, 2012

  There was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.

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  SEC Enforcement Roundup: Real Estate Ponzi Scheme; Hawaiian Boiler Room

  By Marlene Y. Satter, AdvisorOne  |  May 17, 2012

  Continuing investigations and charges against a China-based company and its executive and a Hawaii resident and the firms he used were among the enforcement activities reported by the SEC during the week.