On August 8, U.S. Attorney for the Southern District of New York Preet Bharara announced charges against Charles Moore, the CEO of Crucible Capital Group, Inc., an SEC-registered broker-dealer, for obstructing a regulatory examination and making false statements and filings.  Moore allegedly caused Crucible, which he controlled, to report its net capital above the threshold mandated by SEC regulation despite the firm’s net capital deficiency.   Moore is also alleged to have supported these false filings by directing a Crucible employee to falsify invoices received from vendors and deliver these falsified invoices to SEC employees conducting a regulatory examination of Crucible.  United States v. Moore, 14-MAG-1729 (S.D.N.Y.) DOJ Press Release.