Monthly Archives: October 2012

SEC Charges Solar Company In Market Manipulation Case

Posted on October 1, 2012 by BraunHagey & Borden

SEC Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin, Civil Action No. 5:12-cv-00918-OLG (W.D. Tx.).  On October 1, 2012, the SEC announced it had filed fraud charges against Sunrise Solar Corporation, its former CEO Eddie D. Austin, Jr., … Continue reading →

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SEC Charges Subramanian Krishnan With Evading Internal Controls

Posted on October 1, 2012 by BraunHagey & Borden

SEC v. Subramanian Krishnan, Case No.: 12-CV-2495 PAM-JJG (D. Minn.).  On September 28, 2012, the SEC announced it had filed a partially-settled enforcement action against Subramanian Krishnan.  Krishnan was the former CFO of Digi International, Inc. (“Digi”).  Corporate funds were used to pay for unauthorized travel … Continue reading →

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SEC Charges Investment Bank Analyst And Friend With Insider Trading

Posted on October 1, 2012 by BraunHagey & Borden

SEC v. v. Jauyo (“Jason”) Lee and Victor Chen, Case No. C12-5031-JSC (N.D. Cal.).  On September 27, 2012, the SEC announced insider trading charges against Jauyo “Jason” Lee and his friend Victor Chen.  Lee routinely received sensitive information as an investment banker … Continue reading →

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SEC Charges Bradley Holcom and Jose Pinedo in $42 Million Fraud Targeting Senior Citizens

Posted on October 1, 2012 by BraunHagey & Borden

SEC v. Bradley A. Holcom, Case No. 3:12-cv-01623 (S.D. Cal.); SEC v. Jose L. Pinedo, Case No. 3:12-cv-01620 (S.D. Cal.).  On September 27, 2012, the SEC announced fraud charges against Bradley Holcom and Jose Pinedo.  Holcom was behind an unregistered … Continue reading →

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