Contributors
-
Recent Posts
- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
- SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
- SEC Settles Insider Trading Case against Charles Langston III
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
Archives
Categories
Meta
Other BraunHagey Blogs
Monthly Archives: February 2013
SEC Files Insider Trading Case against James Balchan for Trading on Information Gained from his Wife, a Law Firm Partner
SEC v. James Balchan, Case No. 4:13-cv-00298 (S.D. Tx.). On February 6, 2013, the SEC announced that it filed insider trading charges against James Balchan for trading ahead of the acquisition of National Semiconductor after he misappropriated confidential information from … Continue reading
CFTC Obtains $325 Million Penalty to Settle LIBOR Case against the Royal Bank of Scotland and RBS Securities Japan Limited
In the Matter of The Royal Bank of Scotland plc and RBS Securities Japan Limited, CFTC Docket No. 13-14. On February 6, 2013, the CFTC announced it issued a settled Order against the Royal Bank of Scotland and RBS Securities Japan related … Continue reading
CFTC Sues Halifax Investment Services for Illegal Solicitation of Forex Orders
CFTC v. Halifax Investment Services, Ltd., Case No. 1:13-cv-00892 (E.D.Ill.). On February 5, 2013, the CFTC announced charges against Halifax Investment Services, Ltd. of Sydney, Australia relating to the solicitation and acceptance of forex orders from U.S. customers without the … Continue reading
SEC Settles Case against Former Officers of Gibraltar Asset Management Group
SEC v. Garfield Taylor, Inc., et al., Case No. 1:11-cv-02054-RLW (D.D.C.). On February 5, 2013, the SEC announced that it settled its case against three former officers of Gibraltar Asset Management Group, LLC for their role in a $27 million … Continue reading
SEC Settles Insider Trading Case Against Four Company Executives and Two Tippees
SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers, Case No. 3:11-cv-165-H. On February 5, 2013, the SEC announced that it settled insider trading charges in … Continue reading
SEC Announces that Investment Adviser Timothy Roth Was Sentenced to 12 Years in Parallel Criminal Case
SEC v. Timothy J. Roth, et al, Case No. 11-cv-02079 (C.D. Ill.). On February 5, 2013, the SEC announced that a federal judge sentenced Timothy J. Roth to 151 months in prison and ordered him to pay $16,151,964 in restitution … Continue reading
Posted in Securities
Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
Leave a comment
SEC Charges Richard and Susan Olive with Defrauding Senior Citizens Investing in Charity
SEC v. Richard and Susan Olive, Case No. 2:13-cv-14047 (S. D. Fl.); SEC v. We the People, Inc. of the United States, Case No. 2:13-cv-14050 (S. D. Fl.); SEC v. William G. Reeves, Esq., Case No. 2:13-cv-14048 (S. D. Fl.). … Continue reading
Securities Enforcement Blog 