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- SEC Settles Insider Trading Case against Charles Langston III
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Monthly Archives: March 2013
SEC Settles S.A.C. Capital Insider Trading Case for $600 Million
SEC v. CR Intrinsic Investors, LLC et al., Case No. 12 Civ. 8466 VM (S.D.N.Y.). On March 18, 2013, the SEC announced it settled insider trading charges against CR Intrinsic Investors, an affiliate of S.A.C. Capital for more than $600 … Continue reading
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Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Obtains Asset Freeze Against Investment Adviser Gregg Caplitz Charged with Stealing Client Money
SEC v. Gregg D. Caplitz, et al., Case No. 1:13-cv-10612 MLW (D. Mass.). On March 18, 2013, the SEC announced it obtained an asset freeze against investment adviser Gregg D. Caplitz. The SEC alleges that Caplitz and Insight Onsite Strategic … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Fraud Action against the State of Illinois for Misleading Pension Disclosures
In the Matter of State of Illinois, Admin. Proc. File No. 3-15237. On March 11, 2013, the SEC announced it issued a settled cease-and-desist order against the State of Illinois. This is the second time the SEC has charged a … Continue reading
SEC Obtains Emergency Order Halting Alleged Investment Scheme by John Rohner
SEC v. Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner, Case No. 2:13-cv-00344 GMN (D. Nev.). On March 8, 2013, the SEC announced it obtained an emergency order halting an alleged investment scheme. The SEC alleged that John P. … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Attorney Brian Reiss with Fraud for Legal Opinion Letters
SEC v. Brian R. Reiss, Case No. 13-cv-1537 (S.D.N.Y.). On March 7, 2013, the SEC announced fraud charges against California attorney Brian Reiss for issuing legal opinion letters without any basis. A legal opinion letter is one provided to transfer … Continue reading
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Tagged Fraud, Penny Stock, SEC, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Robert Crane with Market Manipulation of Penny Stocks
SEC v. Robert Crane, Case No. 1:13-cv-00261 CMH (E.D. Va.). On March 7, 2013, the SEC announced a settled fraud action against Robert Crane for manipulating the market for certain penny stocks. The SEC alleges that Crane executed six wash … Continue reading
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Tagged Fraud, Market Manipulation, Penny Stock, SEC, Securities Act, Securities Exchange Act
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SEC Charges Stock Promoter Colin McCabe with Fraud
SEC v. Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor), Case No. 2:13-cv-00161 (D. Utah). On March 4, 2013, the SEC announced fraud charges against Canadian stock promoter Colin McCabe. According to the SEC, McCabe … Continue reading
SEC Charges Hedge Fund Adviser Randall Hansen with Fraud
SEC v. Randal Kent Hansen, et al., Case No. 13-cv-01403 (S.D.N.Y.). On March 4, 2013, the SEC announced fraud charges related to two hedge funds — RAHFCO Funds LP and RAHFCO Growth Fund LP (the “RAHFCO Hedge Funds”). The SEC charged RAHFCO Management Group, … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Falcon Ridge Development and its CEO Fred Montano with Fraud in Market Manipulation Scheme
SEC v. Falcon Ridge Development, Inc., et al., Case No. 13-cv-1101 (E.D. Pa.). On March 1, 2013, the SEC announced fraud charges against Falcon Ridge Development, Inc. (“Falcon Ridge”) and its President and CEO, Fred M. Montano. The SEC alleges … Continue reading
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Tagged Fraud, Market Manipulation, SEC, Securities Act, Securities Exchange Act
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SEC Charges San Francisco-Bay Area Real Estate Fund Managers Walter Ng, Kelly Ng and Bruce Horwitz with Fraud
SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC, Case No. C 13-0895 NC (N.D. Cal.). On February 28, 2013, the SEC announced fraud charges against Bay Area real estate fund managers Walter Ng, his son … Continue reading
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Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 