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Monthly Archives: June 2013
SEC Charges Medical Imaging Device Company Imaging3 and its Founder Dean Janes with Fraud
SEC v. Imaging3, Inc. & Dean Janes, Case No. CV13-04616 GAF (AJWx) (C.D. Cal.). On June 26, 2013, the SEC announced it filed fraud charges against Imaging3, Inc. and its founder Dean Janes. Janes held a conference call with investors … Continue reading
SEC Charges Robert Hurd and His Company in Investment Scheme Touting Alzheimer’s Treatment
SEC v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Case No. 13-CV-04464-RGK (JCGx) (C.D. Cal.). On June 21, 2013, the SEC announced it filed charges against Your Best Memories International Inc. and its president, Robert Hurd for fraud. … Continue reading
SEC Settles Insider Trading Case with former Yahoo Executive Robert Kwok
SEC v. Reema D, Shah and Robert W, Kwok, Case No. 12-cv-430 (S.D.N.Y.). On June 12, 2013, the SEC announced it settled insider trading charges against former Yahoo executive Robert Kwok in a case filed last year. The SEC alleged … Continue reading
SEC Charges Revlon, Inc. for Misleading Shareholders When Going Private
In the Matter of Revlon, Inc., Admin. Proc. No. 3-15356. On June 13, 2013, the SEC announced it filed settled administrative charges against Revlon for misleading shareholders in connection with a “going private transaction.” A going private transaction is essentially … Continue reading
SEC Charges Ernesto Lujan in Connection with Kickback Scheme
SEC v. Bethancourt et al., Case No. 13-cv-3074 (S.D.N.Y.). On June 12, 2013, the SEC announced it filed an amended complaint adding Ernesto Lujan, former head of the Miami office of brokerage firm Direct Access Partners (“DAP”). Last month, the … Continue reading
SEC Charges Brothers Leslie Jacobs II and Andrew Jacobs in Eighth Insider Trading Case Related to Sanofi-Aventis’ of Chattem
SEC v. Jacobs, Case No. 1:13-cv-1289 (N.D. Ohio). On June 11, 2013, the SEC announced it filed insider trading charges against Andrew W. Jacobs (“A. Jacobs”) and Leslie J. Jacobs II (“L. Jacobs”). The SEC alleges that when French pharmaceutical … Continue reading
SEC Charges the CBOE for Regulatory Failures
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated, Admin Proc. File No. 3-15353. On June 11, 2013, the SEC announced it filed settled administrative proceedings against the Chicago Board Options Exchange (“CBOE”) and an … Continue reading
SEC Charges Investment Adviser Chauncey Mayfield and Others with Stealing Money from the Detroit Police and Firefighters Pension Fund
SEC v. MayfieldGentry Realty Advisors et al., Case No. 2:13-cv-12520 NGE MAR (E.D. Mich.). On June 10, 2013, the SEC announced it filed a complaint against Chauncey C. Mayfield for taking $3.1 million from the Police and Fire Retirement System … Continue reading
SEC Charges Whittier Trust and Fund Manager Victor Dosti with Insider Trading
SEC v. Victor Dosti and Whittier Trust Co (S.D.N.Y). On June 7, 2013, the SEC announced it filed a complaint in the Southern District of New York charging Victor Dosti and Whittier Trust Company with insider trading. According to the … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC and CFTC Charge Cyprus-Based Banc de Binary with Illegally Selling Binary Options
SEC v. Banc de Binary Ltd., Case No. 2:13-cv-00993 (D. Nev.). On June 6, 2013, the SEC announced charges against Banc de Binary for unlawfully selling binary options. Binary options are options contracts where the payout depends on whether the … Continue reading
Posted in Securities
Tagged CFTC, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 