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Monthly Archives: November 2012
SEC Charges James Ellis With Brining Victims Into Ponzi Scheme
SEC v. James Ellis, Case No. 12-cv-62211 (S.D. Florida.). On November 9, 2012, the SEC announced charges against James Ellis. The SEC alleges that Ellis was involved in a Ponzi scheme with George Elia. Ellis found investors and introduced them … Continue reading
SEC Settles With Aamer Abdullah Considering His Cooperation Under The SEC’s Enforcement Cooperation Initiative
SEC v. Aamer Abdullah, Case No. 10-cv-4957 (S.D.N.Y.). On November 9, 2012, the SEC announced a settlement with Aamer Abdullah in a case brought in June 2010. Abdullah was a portfolio manager with ICP Asset Management, LLC. According to the … Continue reading
Posted in Securities
Tagged Broker-Dealer, Collateralized Debt Obligation, Fraud, SEC, Securities Exchange Act
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SEC Charges Electronic Game Company Executives And Their Outside Auditor With Fraud
SEC v. Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla (S.D.N.Y). On November 8, 2012, the SEC announced it charged Lee Cole, Linden Boyne, Kevin Donovan, and Timothy Quintanilla with fraud. Cole was the CEO of Electronic Game Card, … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Former Deloitte Partner Thomas Flanagan Sentenced to 21 Months For Insider Trading
SEC v. Thomas P. Flanagan, et al.,Case No. 10-cv-04885 (N.D. Ill.). On October 31, 2012, the SEC announced that Thomas P. Flanagan was sentenced to 21 months of incarceration followed by supervised release of 12 months. Flanagan must also pay … Continue reading
CFTC Obtains $3 Million Judgment Against Brad Demuzio
CFTC v. Brad L. Demuzio, et al., Case No. 4:12-cv-00183-MHW. On November 1, 2012, the CFTC announced it obtained a $3 million dollar judgment against Brad Demuzio and his company. The company defaulted and Demuzio settled. Without admitting or denying … Continue reading
SEC Charges Michael Van Guilder With Insider Trading
SEC v. Michael Van Guilder, Case No. 12-cv2839 (D. Colo.). On October 26, 2012, the SEC announced it charged Michael Van Gilder, the CEO of the Van Gilder Insurance Company, with insider trading. Van Gilder learned from an insider that … Continue reading
Securities Enforcement Blog 