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Monthly Archives: September 2012
SEC Charges Jonathan Bryant, Thomas Kelly, Carl Duncan and 8000, Inc. In Market Manipulation Scam
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq., Case No. 12-CV-7261 (S.D.N.Y.). On September 27, 2012, the SEC announced charges against 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, … Continue reading
SEC Settles Pay-to-Play Case Against Goldman Sachs and Neil Morrison for $7 million
In the Matter of Goldman, Sachs & Co., Admin. Proc. No. 3-15048; In the Matter of Neil Morrison, Admin Proc. No. 3-15049. On September 27, 2012, the SEC announced charges against Goldman, Sachs & Co. and its former investment banker … Continue reading
SEC Files Fraud Charges Against Bank Executives For Misstating Losses
SEC v. Gilbert G. Lundstrom et al., Case No. 8:12-cv-00343 (D. Neb.); SEC v. Don A. Langford, Case No. 8:12-cv-00344 (D. Neb.). On September 25, 2012, the SEC announced fraud charges against Gilbert Lundstrom, who was CEO and chairman of … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Insider Trading, Internal Controls, SEC, Securities Exchange Act
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SEC Charges Four Individuals In $1.7 Million Investment Scam
SEC v. Rudolf D. Pameijer, et al., Case No. 1:12-CV-01364 (S.D. In.). On September 24, 2012, the SEC announced fraud charges against Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and his entity Rykoworks Capital Group, LLC. Koester claimed to be an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Forex, Fraud, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Registered Representative David Rothman Stealing Investor Funds
SEC v. David L. Rothman, Case No. 12-cv-5412-BMS (E.D. Pa.). On September 24, 2012, the SEC announced fraud charges against David Rothman, a registered representative and minority owner of Rothman Securities, Inc., a broker-dealer registered with the SEC. For several years Rothman provided … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Registered Representative, SEC, Securities Act, Securities Exchange Act
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Tyco International, Ltd. To Pay $26 Million to Settle Foreign Corrupt Practices Act Violations
SEC v. Tyco, International Ltd., Case No. 1:12-cv-01583 (D.D.C.). On September 24, 2012, the SEC announced the filing of a settled FCPA case against Tyco. In 2006, the SEC filed a settled FCPA action against Tyco in which the company … Continue reading
SEC Charges Rondald Wheet and Revolutions Medical Corp. For False Statements About The Company’s Medical Safety Syringe
SEC v. Revolutions Medical Corp. and Rondald L. Wheet, Case No. 1:12-cv-03298-TCB (N.D. Ga.). On September 21, 2012, the SEC announced charges against Revolutions Medical Corp. (“Revolutions Medical”) and its CEO, Rondald L. Wheet (“Wheet”). The case concerns Revolutions Medical’s … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, SEC, Securities Act, Securities Exchange Act
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SEC Charges Repeat Offender Edward Tackaberry With Acting as an Unregistered Broker-Dealer
SEC v. Edward Tackaberry, Case No. 6:12-Civ-06512 (W.D.N.Y.). On September 21, 2012, the SEC announced charges against Edward Tackaberry. Tackaberry acted as a broker-dealer by discussing investments with investors, negotiating their investments and documenting the deals. At the time Tackaberry was soliciting … Continue reading
SEC Charges Hedge Fund Manager Yusaf Jawed in $37 Million Ponzi Scheme
SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, et al; Case No. 12-1696 (D. Ore.); SEC v. Jacques Nichols, Case No. 12-1698 (D. Ore.); SEC v. Lyman Bruhn, et al., Case No. 12-1697 (D. Ore.). On September 21, 2012, the SEC … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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U.S. Indicts Former Sunwest Assisted-living Center CEO Jon Harder on Fraud Charges
When I was trial counsel with the SEC, I led the fraud case against Sunwest and its CEO Jon Harder. Three-and-one-half years later, the U.S. Attorney has obtained a 56-count indictment against Harder alleging he defrauded more than 1,000 investors out … Continue reading
Securities Enforcement Blog 