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Monthly Archives: January 2013
SEC Files Settled Insider Trading Case Against John Darden III
SEC v. John M. Darden III, Case No. 1:13-cv-00138-ODE (D. Ga.). On January 17, 2013, the SEC announced it filed a settled insider trading case against John M. Darden III. The SEC alleges that Darden obtained inside information about a … Continue reading
SEC Files Settled Insider Trading Case Against Eric Rogers
SEC v. Eric D. Rogers, Case No. 13-CV-0374 (S.D.N.Y.). On January 17, 2013, the SEC announced it filed a settled insider trading case against Eric D. Rogers. Rogers used to be a trader for Spectrum Trading, LLC, a registered broker-dealer. … Continue reading
Posted in Securities
Tagged Broker-Dealer, Insider Trading, SEC, Securities Exchange Act
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SEC Obtains Summary Judgment In Offering Fraud
SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al., Case No. SACV 11-315 DOC (AJWx ) (C.D. Cal.). On … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Volt Information Sciences, Debra Hobbs and Jack Egan With Securities Fraud
SEC v. Jack J. Egan, Jr., Case No. 13-CV-236 (S.D.N.Y.); SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs, Case No. 13-CV-237 (S.D.N.Y.). On January 10, 2013, the SEC filed enforcement actions alleging securities fraud against Volt Information Sciences, … Continue reading
Posted in Securities
Tagged Books and Records, Fraud, Internal Controls, SEC, Securities Act, Securities Exchange Act
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