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Monthly Archives: June 2012
SEC and U.S. Attorney Charge Multiple Company Officers and Penny Stock Promoters in Kickback and Manipulation Schemes
SEC v. Yan K. Skwara and US Farms, Inc., Case No. 0:12-cv-61078-JAL (S.D. Fl.); SEC v. Douglas D. Hague and Clean Coal Technologies, Inc., Case No. 0:12-cv-61076-WJZ (S.D. Fl.); SEC v. Joseph J. Repko, Michael M. Cimino, and Sure Trace … Continue reading
Posted in Securities
Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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Oppenheimerfunds Agrees to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis
In the Matter of Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc., AP File No. 3-14909. On June 6, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Oppenheimerfunds, Inc. (“OFI”) and Oppenheimerfunds Distributor, Inc. (“OFDI”) for making misleading statements about … Continue reading
Posted in Securities
Tagged Fraud, Investmeant Company Act, Investment Advisers Act, SEC, Securities Act
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SEC Charges Walter Clarke and Investment Firm With Fraud
In the Matter of Oxford Investment Partners, LLC and Walter J. Clarke, AP File No. 3-14899. On May 30, 2012, the SEC issued an Order Instituting Cease-And-Desist Proceedings against Phoenix-based investment adviser Walter Clarke for concealing his personal stake in … Continue reading
Securities Enforcement Blog 