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

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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

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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

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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

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