11.   Jeff Holik, deputy director of enforcement at the CFTC, declined to describe how many investors allegedly were defrauded or how much money was lost.

12.   Keating, who long courted public attention with his battles against pornography and his financial support of Mother Teresa, publicly denied he had intended to defraud investors.

13.   Patrick Bennett denies that there was any scheme to defraud investors.

14.   Penna also pleaded guilty in federal court to manipulating the price of the pharmaceutical stock Compare Generiks, which defrauded investors of millions of dollars.

15.   The arcane world of clearing has become controversial because of the activities of several small brokerage firms that, regulators contend, defrauded investors of millions of dollars.

16.   The commission also charged Hispanic-run companies with defrauding Hispanic investors in the last year.

17.   The company settled with the SEC, without admitting any wrongdoing, by agreeing not to defraud investors in the future.

18.   The judge has not decided whether to impose any fines against Bloch, who is charged with having defrauded investors in the three stations.

19.   The office-equipment leasing company was sued by the Securities and Exchange Commission on Thursday for allegedly defrauding investors.

20.   The SEC has also sharpened its focus on entertainment ventures that end up defrauding investors.