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Monthly Archives: November 2012
SEC Charges Dayl W. Pearson, Michael I. Wirth, and R. Jonathan Corless For Overvaluing Assets During The Financial Crisis
In the Matter of KCAP Financial Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless, Admin. Proc. No. 3-15109. On November 28, 2012, the SEC announced the filing of a settled Administrative Order finding that KCAP Financial … Continue reading
Posted in Securities
Tagged Books and Records, SEC
SEC Charges Roger Parker As Information Source In Insider Trading Case
SEC v. Michael Van Gilder and Roger Parker, Case No. 12-cv-2839 (D. Colo.). Previously, I wrote about the SEC’s insider trading case against Michael Van Guilder. The SEC alleged Van Gilder traded on inside information in advance of Delta Petroleum … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Exchange Act
SEC Settles With Four Brokerage Firms For Registration Violations
In the Matter of Ambit Capital Pvt. Ltd., Admin. Proc. No. 3-15105; In the Matter of Motilal Oswal Securities Limited, Admin. Proc. No. 3-15106; In the Matter of JM Financial Institutional Securities Private Limited, Admin. Proc. No. 3-15107; In the … Continue reading
Posted in Securities
Tagged Broker-Dealer, SEC, Securities Exchange Act
SEC Obtains Asset Freeze and Appointment of Receiver In Fraud Case Against Hedge Fund Adviser Hochfeld Capital Management And Its Principal Berton Hochfeld
SEC v. Berton Hochfeld et al., Case No. 12-cv-8202 (S.D.N.Y.). On November 26, 2012, the SEC announced it obtained a consent judgment in its case against Berton M. Hochfeld and Hochfeld Capital Management, L.L.C., ordering injunctions, asset freezes, the appointment of a … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
HP Claims Fraud By Automony
Last week, I was on Bloomberg West TV speaking about HP’s fraud claims against Autonomy.
Posted in Securities
SEC Settles With J.P Morgan For $296.9 Million Related to Mortgage-Backed Securities
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I, Case No. 1:12-cv-01872 RLW(D.D.C.). On November 16, 2012, the … Continue reading
Posted in Securities
Tagged Fraud, Mortgage Backed Securities, SEC, Securities Act
SEC Settles Fraud Case Related To Deepwater Horizon Oil Spill With BP for $525 Million
SEC v. BP p.l.c, Case No. 2:12-cv-02774 (E.D. La.). On November 15, 2012, the SEC announced a settlement with BP in connection with claims the company mislead investors while the Deepwater Horizon oil rig was leaking oil into the Gulf … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Exchange Act
The Securities and Exchange Commission Releases Its Annual Results
On November 14, 2012, the SEC announced the results of its enforcement program for fiscal year 2012 (“FY12”), and the agency came just one case short of matching its 2011 record-breaking numbers. The SEC filed 734 enforcement cases, bringing the … Continue reading
Posted in Securities
Tagged SEC
CFTC Charges Matthew Marshall Taylor With Fraud For Faking And Concealing Trades
CFTC v. Matthew Marshall Taylor, Case No. 12-civ-8170 (S.D.N.Y.). On November 8, 2012, the CFTC announced fraud charges against Matthew Marshall Taylor. According to the CFTC’s complaint, Taylor was a Vice President and trader for a large Futures Commission Merchant … Continue reading
Posted in Commodities
Tagged CFTC, Commodity Exchange Act, Fraud
SEC Charges Anand Sekaran With Defrauding Clients
SEC v. Anand Sekaran and Wasson Capital Advisors, Ltd., Case No. 12-cv-8199 JMP (S.D. N.Y.). On November 9, 2012, the SEC announced charges against Anand Sekaran and his firm Wasson Capital Advisors. The SEC alleges that Wasson’s strategy was to … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Exchange Act
