U.S. District Court for the Southern District of New York

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  SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam

  By Marlene Y. Satter, AdvisorOne  |  August 23, 2012

  A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.

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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, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  July 27, 2012

  Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.

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  Goldman Loses Appeal on $20M FINRA Clearing Case

  By Marlene Y. Satter, AdvisorOne  |  July 6, 2012

  Goldman acted as a clearing broker and prime broker for hedge funds associated with the Bayou Funds, an alleged Ponzi scheme that collapsed in 2005.

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  Former Yahoo Exec, Former Ameriprise Fund Manager Charged With Insider Trading

  By Marlene Y. Satter, AdvisorOne  |  May 22, 2012

  Robert W. Kwok, formerly Yahoo’s senior director of business management, and Reema D. Shah, a former mutual fund manager at an Ameriprise Financial unit, were charged with insider trading.

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  Fraudulent Families, Pt. 2: SEC Charges U.K. Twins in Pump-n-Dump Scheme

  By James J. Green, AdvisorOne  |  April 23, 2012

  SEC alleges twin brothers, starting as 16-year-olds, ran an Internet pump-and-dump scheme in which they used ‘Marl’ the robot to manipulate penny stock prices while receiving money from the stocks’ ‘promoters.’

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  Diamondback Capital Agrees to Settle SEC Charges

  By Marlene Y. Satter, AdvisorOne  |  January 23, 2012

  The Securities and Exchange Commission announced Monday that Diamondback Capital Management has agreed to settle charges of insider trading for more than $9 million.

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  SEC Charges Former Fannie Mae, Freddie Mac Execs With Fraud

  By Marlene Y. Satter, AdvisorOne  |  December 16, 2011

  The Securities and Exchange Commission announced Friday that it has charged six former executives from Fannie Mae and Freddie Mac with securities fraud.

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  Judge Rakoff Says Goldman's Blankfein Can Testify in Insider Trading Case

  By Marlene Y. Satter, AdvisorOne  |  December 2, 2011

  Controversial Federal judge orders that deposition can be taken before Rajat Gupta insider trading trial.

• Class Action Suit Costs Wachovia $590 million

  By Melanie Waddell, AdvisorOne  |  August 5, 2011

  In what’s being hailed as among the largest securities class action recoveries, Wachovia has been ordered to pay $590 million in a class-action settlement for losses incurred through purchases of Wachovia bonds and preferred securities between.