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Monthly Archives: June 2013
SEC Freezes the Assets of Badin Rungruangnavarat for Insider Trading Before Smithfield Foods Acquisition Announcement
SEC v. Badin Rungruangnavarat, Case No. 13-cv-4172 (N.D. Il.). On June 6, 2013, the SEC announced it obtained an emergency order freezing the assets of Badin Rungruangnavarat who is in Bangkok, Thailand. The SEC alleges that Rungruangnavarat bought out-of-the-money Smithfield … Continue reading
SEC Charges Michael Bartoszek and his Penny Stock Company with Fraud and Insider Trading
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek, Case No. 13-cv-3887 (S.D.N.Y.). On June 5, 2013, the SEC announced charges against Laidlaw Energy Group and its CEO Michael B. Bartoszek. According to the SEC, Bartoszek sold billions of … Continue reading
SEC Suspends Trading of 61 Companies
In the Matter of 3CI Complete Compliance Corp. et al. On June 3, 2013, the SEC announced it had suspended trading in the securities of 61 empty shell companies that are delinquent in their public filings. The list of companies … Continue reading
SEC Charges Mark Morrow and His Firm with Offering Fraud
SEC v. Detroit Memorial Partners, LLC and Mark Morrow, Case No. 1:13-cv-01817 WSD (N.D. Ga.). On June 3, 2013, the SEC announced it charged Detroit Memorial Partners, LLC (“DMP”) and its managing member, Mark Morrow in an offering fraud. The SEC … Continue reading
Posted in Securities
Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges PACCAR Inc. With Hundreds of Accounting Deficiencies
SEC v. PACCAR INC. and PACCAR Financial Corp, Case No. 2:13-cv-00953 (W.D. Wa.). On June 3, 2013, the SEC announced it charged commercial truck manufacturer PACCAR, Inc. and a subsidiary, PACCAR Financial Corp. with hundreds of accounting deficiencies that lead … Continue reading
SEC Charges Attorney Robert A. Gist with Stealing $5.4 Million from Investors
SEC v. Robert A. Gist et al., Case No. 1:13-cv-01833 AT. On May 31, 2013, the SEC announced it charged attorney Robert A. Gist and Gist, Kennedy & Associates, Inc. (“Gist Kennedy”), a company that Gist controls, with defrauding investors … Continue reading
Securities Enforcement Blog 