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- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
- SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
- SEC Settles Insider Trading Case against Charles Langston III
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
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Monthly Archives: July 2012
SEC Charges Equity Research Firm Founder Tai Nguyen with Insider Trading
Securities and Exchange Commission v. Tai Nguyen, Case No. 12-CIV-5009 (S.D.N.Y.). On June 26, 2012 the SEC charged Tai Nguyen, owner of equity research firm Insight Research, with insider trading. The Nguyen case stems from the SEC’s investigation of “expert … Continue reading
Posted in Securities
Tagged Fraud, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Aubrey Lee Price With Fraud and Freezes His Assets
Securities And Exchange Commission v. Aubrey Lee Price; PFG, LLC; PFGBI, LLC; Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Florida limited liability company); and Montgomery Asset Management, LLC f/k/a PFG Asset Management, LLC, (Georgia limited liability company), Case No. … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Fund Adviser AMMB Consultant Sendirian Berhad Agrees to Pay More than $1.5 million to settle SEC Charges
Securities and Exchange Commission v. AMMB Consultant Sendirian Berhad, Case No. 1:12-cv-01052 (D.D.C.). On June 26, 2012, the SEC sued AMMB Consultant Sendirian Berhad (“AMC”), a Malaysian investment adviser, for charging a U.S. registered fund for over a decade for advisory services that AMC did … Continue reading
SEC Charges Wayne Palmer and National Note of Utah with $100 Million Real-Estate Based Ponzi Scheme
Securities and Exchange Commission v. National Note of Utah, LC and Wayne LaMar Palmer, Case No. 2:12-cv-00591. On June 25, 2012, the SEC obtained a temporary restraining order and asset freeze against Wayne L. Palmer and his firm, National Note … Continue reading
FINRA Fines Merrill Lynch $2.8 for Overcharging Customers
On June 21, 2012, the Financial Industry Regulatory Authority announced that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8 million for supervisory failures and the resulting overcharge to customers of $32 million in unwarranted fees, and for failing to … Continue reading
CFTC Obtains Order requiring Linda Harris, Chance Harris, CDH Forex Investments, LLC, and CDH Global Holdings, LLC, to Pay More than $5.4 Million in Forex Fraud.
CFTC v. CDH Forex Investments, LLC et al., Case No. 3:11 cv-02862-F (N.D. Tex.). On June 12, 2012, the CFTC obtained a federal court order requiring Linda Harris, Chance Harris, and their companies, CDH Forex Investments, LLC and CDH Global Holdings to pay more … Continue reading
Securities Enforcement Blog 