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Monthly Archives: April 2013
SEC Charges David Miller in Unauthorized Trading Scheme
SEC v. David Miller, Case No. 3:13-cv-00522 (D. Conn.). On April 15, 2013, the SEC announced it filed a partially settled enforcement action against David Miller, a former trader with Rochdale Securities LLC. The SEC alleges that Miller received an … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, SEC, Securities Act, Securities Exchange Act
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SEC Charges Scott Reiman with Insider Trading
In the Matter of Scott Reiman, Admin. Proc. File No. 3-15277. On April 15, 2013, the SEC announced it initiated and settled an administrative proceeding charging Scott Reiman with insider trading. According to the SEC Order Instituting Proceedings, Reiman is … Continue reading
SEC Sues Former KPMG Partner for Insider Trading
SEC v. Scott London and Bryan Shaw, Case No. CV 13-02558 (C.D. Cal.). On April 11, 2013, the SEC announced it filed insider trading charges against former KPMG partner Scott London and his friend Bryan Shaw. The SEC alleges that … Continue reading
CFTC Files Settled Administrative Action against Barry Sendach, Joshua Kershner and Forex Global Solutions
In the Matter of Forex Global Solutions, et al., CFTC Docket No. 13-20. On April 9, 2013, the CFTC announced it filed settled administrative charges against Barry Sendach, Joshua Kershner, and their companies, Forex Global Solutions Inc. and Forex Global … Continue reading
CFTC Files Settled Administrative Action Against Interactive Brokers LLC
In the Matter of Interactive Brokers, LLC, CFTC Docket No. 13-19. On April 9, 2013, the CFTC announced it filed settled administrative charges against Interactive Brokers, LLC. Without admitting or denying the charges, Interactive Brokers consented to entry of a … Continue reading
CFTC Charges Whileon Chay and 4X Solutions in Forex Ponzi Scheme
CFTC v. 4X Solutions, Inc. and Whileon Chay, Case No. 13-CIV-2287 (S.D.N.Y.). On April 8, 2013, the CFTC announced it filed fraud charges against 4X Solutions, Inc. and its principal, Whileon Chay. The CFTC alleges that Chay and 4X raised $4.8 … Continue reading
SEC Charges Medical Device Company Employee for Illegally Tipping His Brother
SEC v. Tai Nguyen and Thanhha Bao, Case No. 12-cv-5009 (GBD) (S.D.N.Y.). On April 8, 2013, the SEC announced an enforcement action against ThanhHa Bao, who worked in the finance department at Abaxis Inc. The SEC alleges that Bao routinely … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Glenn Hoppes and His Companies with Offering Fraud in Connection with Oil Drilling Projects
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, Case No. 8:13-cv-00868-SDM-AEP (M.D. Fl.). On April 8, 2013, the SEC announced an enforcement action against Glenn … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Temporary Restraining Order against British Internet Investment Scheme
SEC v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Case No. 1:13-cv-1104 (D. Ga.). On April 4, 2013, the SEC announced it filed an emergency enforcement action against Inter … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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The SEC Approves Use of Social Media for Company Disclosures if Investors Are Advised of Where to Look
A propos of my appearance on Bloomberg West TV, the SEC announced yesterday that companies may use social media for company announcements if investors are advised about which social media outlets will be used to convey the information. The SEC’s … Continue reading
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